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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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) p! F' M6 F) d8 `7 O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：
% @: A+ Z0 @. u' O9 n" O5 y0 y- k1.《伦理道德与专业准则 Ethical and Professional Standards》
`$ j8 G h5 B# [# G5 h* X2.《数量方法 Quantitative Method 》
3 `+ F% N8 _( i- y6 G- ^4 |3.《经济学 Economics》 U: j% V7 ~6 _) }) b: H/ q
4.《财务报表分析 Financial Reporting and Analysis》
* t _& S/ b* ~. w5.《公司金融 Corporate Finance》
- l8 y9 g7 F K& Q6.《权益类证券产品 Equity Investment》
2 Z8 Q$ ^3 X$ l. l: r* e2 s7.《固定收益产品 Fixed Income》4 a, V9 {' U8 z+ {$ V( g: o) W
8.《金融衍生产品 Derivative Investments》& k" Q. o: k* X& V: c
9.《另类投资 Alternative Investments》
6 |# E. T2 Q/ T% V, D; k10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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第2题：4 ~! {9 P2 t% }; b0 h; `
- D. B4 ~( Y) O1 P$ j2. 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?
0 e+ g6 y: }/ t w4 i" i, [A. Country A
/ C6 v* i: d! ]B. Country B
" @ _$ K% F: i9 ?C. Country C
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0 R' \/ v! r, `$ P- H答案登录后回复可见：( a, E* L6 Q0 y; d* D' }
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发表于 2015-7-22 09:30:00
