|
|
【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-Q15(含答案)% F/ z: B6 w: m0 d; V! J* e# J
这可是内部资料哦，大家快来~ , c' I" r/ }, g0 t2 P+ B) n
4 a7 g4 Y) J" ?& c
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：
k) D$ v9 b+ G+ ?, f5 z1 _1.《伦理道德与专业准则 Ethical and Professional Standards》- |5 b" o! c% \* a2 _
2.《数量方法 Quantitative Method 》
" U/ I) N4 D5 R! u3.《经济学 Economics》2 ?- [# ?6 F* M4 p. _
4.《财务报表分析 Financial Reporting and Analysis》& W# e6 g6 k; W6 T6 ]7 X
5.《公司金融 Corporate Finance》" I) D& L! B7 y
6.《权益类证券产品 Equity Investment》
8 C5 O5 s6 N9 d% Q$ m7.《固定收益产品 Fixed Income》$ e- X3 `2 \& |
8.《金融衍生产品 Derivative Investments》+ ~- c2 [/ G1 q3 o' ?' O1 O& E
9.《另类投资 Alternative Investments》
5 I" H$ O# P; y0 j* ^! W10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
7 [! I1 l$ V4 \
P2 k2 L! P$ O( E- d* R5 N; P————————————————————————————————————————————————
8 }) _4 w3 ? z8 w8 [+ L3 d& t
第15题：
- \( X! R3 y, {$ a7 C' J+ H/ n% h1 _
15. Narupa Rhasta, CFA, is manager of the fast-growing individual account division of a bank and treats all clients equally. When the bank’s research department issues a buy or a sell recommendation on a security, she ensures that the recommended action is implemented in all accounts. Do Rhasta’s investment actions violate any CFA Institute Standards?
$ y: ^- ?; w9 T; A5 fA. No1 g2 g! `; O8 w
B. Yes, with respect to suitability
8 w Y* h, z8 Q9 F8 `" t- i+ F" KC. Yes, with respect to diligence and a reasonable basis7 H( G7 D0 @# m6 m
N: x: t8 Z7 W( m
答案和详解，登录后回复可见：6 I" N2 i k% c" y# F) G1 K
w ?- R! q b6 X- Y& j0 E |
|
发表于 2015-7-29 09:30:01
