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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-Q14(含答案)
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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：0 k9 B/ J2 M) i! W, ]. J
1.《伦理道德与专业准则 Ethical and Professional Standards》
8 o$ m1 P' n- X$ ?* s+ B+ H2.《数量方法 Quantitative Method 》3 F+ Z y) t5 l3 A
3.《经济学 Economics》4 A2 H0 J4 o. |7 u
4.《财务报表分析 Financial Reporting and Analysis》3 W: z C% j+ m7 j% Q
5.《公司金融 Corporate Finance》7 @) R# C" b- Y
6.《权益类证券产品 Equity Investment》* I8 N) W+ w, e1 A5 @* n
7.《固定收益产品 Fixed Income》
6 f+ F$ G h& [/ @0 K* R8.《金融衍生产品 Derivative Investments》, M4 M" z2 Q: b- I j/ U4 T
9.《另类投资 Alternative Investments》, X, O1 I* R) ^$ L+ x2 E% t
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》. r) N+ l* i' Q! O# I, [2 ]) _; @ ]
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- |% r c9 {3 _3 f第14题：
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14. Sherry Buckner, CFA manages equity accounts for government entities whose portfolios are conservative and risk averse. Since the objective of her clients is to maximize returns with the lowest possible risk, Buckner considers adding to their holdings a new, thinly-traded, leveraged derivative product which she believes has the potential for high returns. To make her investment decision, Buckner relies upon comprehensive research from an investment bank that has a solid reputation for top quality research. After her review of that research, Buckner positions her accounts so that each has a 10% allocation to the derivative product. Did Buckner most likely violate any CFA Institute Standards of Professional Conduct by purchasing the derivative for her clients?
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B. Yes, related to Suitability3 z# V9 P! D( o# u4 a' g9 l
C. Yes, related to Loyalty, Prudence and Care
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3 k4 }8 y# w, x. ^# T2 T' V答案和详解，登录后回复可见：! [5 [$ q% P3 J1 W5 U
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发表于 2015-7-28 09:30:07
