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【内部资料】高顿财经-CFA Level1-阶段测试30题-伦理道德与专业准则-Q2(含答案)
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, c6 z% `5 _6 L$ X5 g整套阶段测试题包含10个类别，每个类别30题，其中财务报表分析分为AB卷，各30题，全部题目是330题，全都含答案和详解：
( {0 B; S, _9 U6 [7 _& X1.《伦理道德与专业准则 Ethical and Professional Standards》
3 ?1 k1 Q. x+ w5 [2.《数量方法 Quantitative Method 》. B9 \4 |9 v* K' K# J8 s
3.《经济学 Economics》
# O0 D! Y8 p) ~$ i( [8 ^4 T% T4.《财务报表分析 Financial Reporting and Analysis》6 w" Q3 e. ?, R N
5.《公司金融 Corporate Finance》
0 O8 |, a1 ?8 o" q6.《权益类证券产品 Equity Investment》( K7 u7 r! @8 h A
7.《固定收益产品 Fixed Income》
( R5 s8 D; F# H" _8.《金融衍生产品 Derivative Investments》
. E" I# y8 c! k' B' z; z! C# I9.《另类投资 Alternative Investments》
4 T. h. @8 o* N2 ?) V L9 B10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》+ ^- P7 a, U9 p* T# M; C5 I+ y, F
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第2题：8 P$ m% z( x9 Z& g6 A' c
[, m+ G/ }7 W4 W2. Sato Kashingaki, CFA, is a financial advisor who practices in multiple jurisdictions. In his resident country, Country A, he is not required by law to hold a financial advisors license but he is required to uphold a fiduciary duty to his clients. In Country B, authorities require him to hold a financial advisors license but he is not expected to uphold a fiduciary duty to his clients. In Country C, authorities require both a financial advisors license and an asset management license in addition to upholding a fiduciary responsibility towards clients. In which of the three countries does Kashangaki have the duty to adhere to the CFA Code and Standards over local laws?
) s1 U& j' J4 T, t) o$ NA. Country A
+ D; E1 ^0 ?. V* {0 wB. Country B( I, \% R9 e- a' I9 c: _" ?1 C
C. Country C3 y. J) b! x* A% D7 e
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发表于 2015-7-22 09:30:00
