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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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/ E4 s, H) t1 t+ i/ T( W1 R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：
1 c7 A) Y+ Q+ J& T1.《伦理道德与专业准则 Ethical and Professional Standards》2 e5 o% I0 w4 O
2.《数量方法 Quantitative Method 》
$ n' U; \7 q. Z, }9 a3.《经济学 Economics》
0 [. x: b9 }* j: m4.《财务报表分析 Financial Reporting and Analysis》) I( b8 w& S& w S% f
5.《公司金融 Corporate Finance》
+ W" Q l6 a- o+ ~ m* }6.《权益类证券产品 Equity Investment》
9 c! a' @8 `4 I2 W& R- P8 |: ~7.《固定收益产品 Fixed Income》
) C. C: X+ n6 U7 t8 W8.《金融衍生产品 Derivative Investments》" b+ r( e2 p4 v- B
9.《另类投资 Alternative Investments》
2 x# _) n& P8 D, g3 Q7 U) |; J10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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7 v1 c4 b# e$ W3 z/ S& S# V) m第15题：
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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?
3 K T; X3 \4 z2 SA. No
/ Q/ {' B. f7 V6 M$ ~. ]6 K1 bB. Yes, with respect to suitability
! Z6 A4 K' C" X+ n5 q3 O# Q* q* |, rC. Yes, with respect to diligence and a reasonable basis( Q: u# J/ _2 w. d* S
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答案和详解，登录后回复可见：/ K) Q; D4 P c1 l) P
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发表于 2021-1-18 12:18:47
