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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-Q15(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：' y6 `4 r5 f% @7 t& @9 T9 e5 H
1.《伦理道德与专业准则 Ethical and Professional Standards》
/ f: ?& B" N) M' }- {6 Y; c% d2.《数量方法 Quantitative Method 》. r" M4 Q/ {8 S) ~0 Y! V7 R
3.《经济学 Economics》
0 s! r+ U$ p, E2 g4.《财务报表分析 Financial Reporting and Analysis》
& h" l. g2 r6 P6 _1 M5.《公司金融 Corporate Finance》
" b' `1 |6 \/ F) t3 P5 x6.《权益类证券产品 Equity Investment》
5 C5 Z0 }, x6 A7.《固定收益产品 Fixed Income》
+ W$ f, F! m# r8.《金融衍生产品 Derivative Investments》
3 ]; A) K& q/ n) M& c: P9.《另类投资 Alternative Investments》/ t7 T4 Y4 ?, E& E7 O+ [
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》( Z4 b# \# r7 d: x
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第15题：
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) t7 w5 v( M( ~6 \7 {) D3 T15. 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?4 m. c- x6 M9 Z' @9 F
A. No3 L0 j: |0 |1 |4 R& f, Y
B. Yes, with respect to suitability. ^& I1 K1 s' \
C. Yes, with respect to diligence and a reasonable basis7 ^: h- e1 U( g' \; g
7 `1 V1 {' }! r6 g/ k% R$ a答案和详解，登录后回复可见：
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发表于 2015-7-29 09:30:01
