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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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: ^1 T+ Z% \6 W! H A" R5 o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：
+ t$ b0 q x# | a1.《伦理道德与专业准则 Ethical and Professional Standards》
) D; @# x4 P& b; |$ _2.《数量方法 Quantitative Method 》
2 B) |* u n5 F! r6 i: H3.《经济学 Economics》
1 g6 T6 P6 ^: t9 @, N4.《财务报表分析 Financial Reporting and Analysis》
, Y1 O% `- E& t. S6 Z5 f4 f9 `: ~4 w5.《公司金融 Corporate Finance》' T3 e; r: b/ g7 S+ L
6.《权益类证券产品 Equity Investment》7 z9 l# S, `, h# L
7.《固定收益产品 Fixed Income》
0 m1 B; u0 ]9 g7 |2 `6 i' t/ L. J8.《金融衍生产品 Derivative Investments》" X- U5 m0 V2 V
9.《另类投资 Alternative Investments》
( o% O6 ^+ C# T! t/ V( m6 a5 m10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》# l) b5 h h. v+ M K; A6 s5 `
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5 \/ I9 M: z5 c( ^第15题：
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% l. ]2 s5 T: q& ?* r15. 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: T2 ?1 G. X: j, Q$ @
A. No- G: O" J2 I. r3 Z6 \, e4 w
B. Yes, with respect to suitability
7 o! n2 ^' u3 E/ N! WC. Yes, with respect to diligence and a reasonable basis$ Y2 M+ `, o, F1 h3 b5 b8 U7 M5 `2 _
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答案和详解，登录后回复可见：7 q7 M" ?1 |# r3 Y+ i
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发表于 2015-7-29 09:30:01
