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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-Q16(含答案)
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* o7 S. r# ^- J) \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：9 P3 j, w) S' a2 [1 w
1.《伦理道德与专业准则 Ethical and Professional Standards》: H! u9 D: _! D- M
2.《数量方法 Quantitative Method 》
7 I5 j7 ~: P7 v; R* f. I& ?3 q3.《经济学 Economics》
# z+ H$ r% F8 u- m4.《财务报表分析 Financial Reporting and Analysis》/ k$ s: e! h1 U
5.《公司金融 Corporate Finance》
. B7 F$ j7 N3 |. C+ k) A, p6.《权益类证券产品 Equity Investment》
8 P, ~( M; @1 Q7.《固定收益产品 Fixed Income》
' ]8 e! S% @( a) o5 G# B8.《金融衍生产品 Derivative Investments》- u, W( z) F" N- U0 S
9.《另类投资 Alternative Investments》
( ? V" A& w' r6 h4 z6 I# F6 D10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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* ^: V9 m4 c$ R# y5 d* Y$ f$ f第16题：
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16. When Jefferson Piedmont, CFA, joined Branch Investing, Branch began using a quantitative stock selection model Piedmont had developed on his own personal time prior to his employment with Branch. One year later when Piedmont left the firm, he found the original copy of the model he had developed in a file at his home and presented it to his new employer, who immediately began using the model. According to the Standards of Practice Handbook, did Piedmont violate any CFA Institute Standards of Professional Conduct?' h/ D! P7 \# _& Y# o/ ?3 A
A. No
$ B5 Y) D% b$ \' AB. Yes, because he misappropriated property now belonging to Branch
4 P6 n) V: S5 g( G' ?8 n: f9 e( rC. Yes, because he failed to inform his new employer the model was the same one used by his previous employer
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发表于 2015-7-28 09:30:07
