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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)
+ W( O) U* q; Z$ W. @这可是内部资料哦，大家快来~
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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：; K2 D* O# ^- ` H
1.《伦理道德与专业准则 Ethical and Professional Standards》
5 K t5 s2 w y% d& i5 p2.《数量方法 Quantitative Method 》
7 {( n0 \% ~% i# a; v3.《经济学 Economics》4 R* G3 m3 L! y/ _. Q
4.《财务报表分析 Financial Reporting and Analysis》
% ]' D& M# i* d4 p+ b# l' ~5.《公司金融 Corporate Finance》
$ a+ w w/ r. ~' g. X6.《权益类证券产品 Equity Investment》% ^# G6 E# Q: P4 @2 Y
7.《固定收益产品 Fixed Income》
9 ^0 N7 U1 x% i) e6 S+ J+ c8.《金融衍生产品 Derivative Investments》
9 g: A7 N& _- w3 v E9.《另类投资 Alternative Investments》
! i6 E& W4 Y; P& [ I10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》' w" @( r. M6 c5 V) Z. \
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2 x3 q3 }* G! Q. u* ^# p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?
t% S- Q/ T5 ^( e. dA. No
9 f5 W$ B+ G- M* }- lB. Yes, with respect to suitability7 `, D2 R2 b9 a1 p
C. Yes, with respect to diligence and a reasonable basis/ [5 {1 t( d" [( v; q
# ]" I4 U/ H6 q答案和详解，登录后回复可见： J3 @6 _' J& ~$ |
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发表于 2015-7-29 09:30:01
