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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：: n8 G9 l! |8 U+ o0 T5 _
1.《伦理道德与专业准则 Ethical and Professional Standards》
% I! \: s. O5 m5 ^2.《数量方法 Quantitative Method 》 o. B0 t( U5 V2 y
3.《经济学 Economics》) ~5 a1 i. T/ c+ d
4.《财务报表分析 Financial Reporting and Analysis》
4 o2 p- ^2 `) C5.《公司金融 Corporate Finance》0 ~9 ~% f O4 b
6.《权益类证券产品 Equity Investment》
8 `( F; O2 m* O3 [- t7.《固定收益产品 Fixed Income》
! b2 a# `5 W+ E9 W t/ D- j8.《金融衍生产品 Derivative Investments》- A% Z ?2 G8 c8 a }; y4 ^) n
9.《另类投资 Alternative Investments》
/ U8 _# z; C/ F10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》4 y& f" S' L2 w) n7 ]7 h% Z
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第15题：
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* K/ r( h1 @3 e15. 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?! D# Z/ ^; _5 b
A. No3 v' P M( s% H6 b* \% @
B. Yes, with respect to suitability
( e+ r* z0 q, m2 [+ h5 EC. Yes, with respect to diligence and a reasonable basis
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答案和详解，登录后回复可见：8 }; |1 w& Z" S# ]* n9 K( t& n
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发表于 2015-7-29 09:30:01
