|
|
【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)5 }& `! L8 _, l+ c. y
这可是内部资料哦，大家快来~ 7 [9 i6 ~& _* a9 W% T \" G, j6 p
, H& T# P# q7 T, H4 l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：
& J) l' @: I& O# G1.《伦理道德与专业准则 Ethical and Professional Standards》
% t# [* p! ?% g2.《数量方法 Quantitative Method 》
: [/ a# K5 u7 s. Y2 Y; x3.《经济学 Economics》
6 O* P2 x' _0 w4.《财务报表分析 Financial Reporting and Analysis》) ~& C: k3 U8 A7 e( O6 W
5.《公司金融 Corporate Finance》2 T4 E$ L: Y6 E7 W$ k
6.《权益类证券产品 Equity Investment》' z1 [0 ? ~4 \( X9 E
7.《固定收益产品 Fixed Income》
0 J; Y$ C- B( u6 @0 q& t2 o8.《金融衍生产品 Derivative Investments》/ Q) g3 C3 D' ~
9.《另类投资 Alternative Investments》
' F2 d/ y1 i* i9 F+ e10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
& F8 {8 p0 x0 J+ A; K0 k: ?7 T. t l) U0 e( _
————————————————————————————————————————————————
, I# H r A7 W+ G7 v. H, v/ K
* o$ G9 d4 F# l, k) [3 W第15题：
8 V7 S! C' ]: C: m1 Q% M2 u" _$ Q3 W5 C
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?
* K8 ^1 i( i7 d2 `* F/ t. h2 jA. No" p9 p* j! V& Z. @5 f! [
B. Yes, with respect to suitability( g- _+ G5 d4 H8 O# g _' X- w
C. Yes, with respect to diligence and a reasonable basis
1 M, S# E6 G' K, ]6 J, D! \
, s& s% U2 G3 t& w' g答案和详解，登录后回复可见：7 d1 ~# l- ~5 \: T$ P6 q5 z4 }
4 R' p7 ?7 C& g& E6 M; G! @7 V |
|
发表于 2015-7-29 09:30:01
