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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)
8 X5 p- j. h6 A& h这可是内部资料哦，大家快来~
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4 n R3 {0 O" V8 y8 A! e5 {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：3 B# E& O2 P" F6 F" X$ V
1.《伦理道德与专业准则 Ethical and Professional Standards》' A# Q/ a! t- ?, D, i" q
2.《数量方法 Quantitative Method 》
7 I. n. T2 `5 _3.《经济学 Economics》. D: X8 x* L4 }+ m$ ^, Q/ S
4.《财务报表分析 Financial Reporting and Analysis》
; K5 P! v' n* V& D( @. l' S5.《公司金融 Corporate Finance》
# H+ s3 L! C, ^9 u: u6.《权益类证券产品 Equity Investment》
4 J! i% t$ p5 d+ i8 h: P& `7.《固定收益产品 Fixed Income》& r5 D! l2 ^1 F) X( }4 `
8.《金融衍生产品 Derivative Investments》
. K E) a+ H6 N- e. L! W- C2 s4 ?9.《另类投资 Alternative Investments》+ n" O) D5 q4 c- I: l
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》( L0 C7 [2 B6 Z+ q
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" v7 L9 R% P# I- |! W, s8 W9 e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?* r$ o8 i+ R( V) y0 @8 U
A. No
+ a' ~2 |5 d" a1 E+ t5 GB. Yes, with respect to suitability+ f* l C0 B+ L0 i' e
C. Yes, with respect to diligence and a reasonable basis
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* k5 [( z' N' u% z5 {' z) {# b* r答案和详解，登录后回复可见：' b+ I. X8 w/ J$ c% v
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发表于 2015-7-29 09:30:01
