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【内部资料】高顿财经-2015CFA Level1-阶段测试30题-伦理道德与专业准则-Q5(含答案)
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# ^) Z7 r+ L3 |) }4 }/ ^/ c6 i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：# _* J' T5 x9 ?- a2 B
1.《伦理道德与专业准则 Ethical and Professional Standards》5 f7 H' a$ t, ~/ H9 S) G8 Q. Z Y
2.《数量方法 Quantitative Method 》0 y) G" G" h; L' V
3.《经济学 Economics》( X2 Z: S5 l: ]5 o4 o; h
4.《财务报表分析 Financial Reporting and Analysis》: _* j. U! G8 u! w$ H
5.《公司金融 Corporate Finance》
) I& M4 g! Y6 O6 ?! w+ X! J6.《权益类证券产品 Equity Investment》9 {$ z/ P* e( b& j6 a# U" R( s! [
7.《固定收益产品 Fixed Income》
5 r' _$ X6 B$ I5 G* Q, U8.《金融衍生产品 Derivative Investments》: Y+ x4 X+ _! L; O
9.《另类投资 Alternative Investments》' J1 W% N6 U8 h
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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第5题：' n1 J6 k( i- c0 `+ g5 q4 g( t
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5. Jean-Luc Schlumberger, CFA, is an independent research analyst providing equity research on companies listed on exchanges in emerging markets. He often incorporates statistical data he obtained from the web sites of the World Bank and the Central Banks of the various countries into the body of his research reports. While not indicated within the reports, whenever his clients ask where he gets his information he informs them the information is in the public domain, so he doesn’t keep his own records. When the clients ask for the specific web site addresses he provides the information. Which Standard has Schlumberger most likely violated?: |( _- L' f2 s: b8 l
A. Misconduct
* J6 Q% U E# j: U+ KB. Record Retention
- |9 E6 @9 q& J% P- ~! dC. Misrepresentation
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发表于 2015-7-24 09:30:00
