高顿CFA - L1 - 阶段测试30题 - Ethics - Q20 (含答案详解)

catherine · 发表于 2015-7-31 09:00:01

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高顿CFA - L1 - 阶段测试30题 - Ethics - Q20(含答案详解), V% j2 |8 X& W) l# C2 b
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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，全都含答案详解：
1.《伦理道德与专业准则 Ethical and Professional Standards》
2.《数量方法 Quantitative Method 》
3.《经济学 Economics》
4.《财务报表分析 Financial Reporting and Analysis》
5.《公司金融 Corporate Finance》
6.《权益类证券产品 Equity Investment》
7.《固定收益产品 Fixed Income》
8.《金融衍生产品 Derivative Investments》
9.《另类投资 Alternative Investments》
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》

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第17题：

20. Madeline Smith, CFA, was recently promoted to senior portfolio manager. In her new position, Smith is required to supervise three portfolio managers. Smith asks for a copy of her firm’s written supervisory policies and procedures, but is advised that no such policies are required by regulatory standards in the country where Smith works. According to the Standards of Practice Handbook, Smith’s most appropriate course of action would be to:
A. require her firm to adopt the CFA Institute Code of Ethics and Standards of Professional Conduct
B. require the employees she supervises to adopt the CFA Institute Code of Ethics and Standards of Professional Conduct
C. decline to accept supervisory responsibility until her firm adopts procedures to allow her to adequately exercise such responsibility

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