|
|
【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)7 G- g9 R `6 Y! T: V; j, s! n
这可是内部资料哦，大家快来~ % N! X; \8 }$ f/ ~, J6 F3 R
7 V2 A9 B) j8 r$ u( {" E+ }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：
) Y; G( V U0 k; f' q1.《伦理道德与专业准则 Ethical and Professional Standards》
9 e& |4 O9 T, p0 `# r: P8 r2.《数量方法 Quantitative Method 》
8 ?4 Q2 {: L# L2 s3.《经济学 Economics》
/ Q2 _- {9 Q% c3 {5 W4.《财务报表分析 Financial Reporting and Analysis》
2 |2 `0 n6 G; R5.《公司金融 Corporate Finance》. o" c. d. h4 l' O `
6.《权益类证券产品 Equity Investment》
, P- P1 J8 v5 i6 Y7.《固定收益产品 Fixed Income》
# d. t9 C& S: n" j- y; B8.《金融衍生产品 Derivative Investments》
2 Q- s, y5 y- H# Q9.《另类投资 Alternative Investments》! ~ r( T0 ^2 J. f
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》9 g0 V4 L* n. h; i [) c0 F/ i' q
5 I# m5 ]( ~5 `9 O. P: S————————————————————————————————————————————————( q- V, b0 \, b
$ A3 k% F( q9 L4 g: Z$ K/ \. t
第15题：, G( U2 ?+ G# U& M t% X; X
8 l) E/ I% t; i8 ?, l7 {* Q
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?8 \' F+ K$ M0 B8 N% R) L7 E
A. No3 M2 ]1 w, t0 f/ c q! J/ ^: `
B. Yes, with respect to suitability6 k; I, u. J6 \3 \# ` s& e9 d; C' u
C. Yes, with respect to diligence and a reasonable basis
5 z/ l0 z( Z& _3 F- u; F# {" C9 J" R' s0 ^- b* b
答案和详解，登录后回复可见：. J% p4 e' o" D* g: T$ i- j( U6 m
; t6 ^, R: C: [8 M |
|
发表于 2015-7-29 09:30:01
