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高顿CFA - L1 - 阶段测试30题 - Ethics - Q21 (含答案详解)
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8 [! ` D$ Y, w* C! L- S. j. b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:7 l. I& h1 `$ h2 h: b
1.《伦理道德与专业准则 Ethical and Professional Standards》
4 p: `% i4 m( ^; v2.《数量方法 Quantitative Method 》! A8 I. v) T: v+ r9 A3 e- g
3.《经济学 Economics》, e) o9 ^) f2 c% s
4.《财务报表分析 Financial Reporting and Analysis》) k: k4 ^- m- h9 N6 b
5.《公司金融 Corporate Finance》
! Z- D+ O5 f: N- F. r( f7 F* @6.《权益类证券产品 Equity Investment》# E+ U# g& f3 @# F! o5 Q
7.《固定收益产品 Fixed Income》4 a+ u" g, Y) V; ?3 H7 H
8.《金融衍生产品 Derivative Investments》3 c. |6 C8 B) Q( x1 \
9.《另类投资 Alternative Investments》' n; W5 y' ?7 [, k; A# T* C
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21题:1 ?' U* u' {; _
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21. William Wong, CFA, is an equity analyst with Hayswick Securities. Based on his fundamental analysis, Wong concludes the stock of a company he follows, Nolvec Inc., is substantially undervalued and will experience a large price increase. He delays revising his recommendation on the stock from “hold” to “buy” to allow his brother to buy shares at a lower price. Wong is least likely to have violated the CFA Institute Standards of Professional Conduct related to:( N {& N; r" }' i7 a
A. duty to clients' R& Q$ E" R0 C o" d8 d$ |8 g
B. reasonable basis* _7 i1 j) Z6 i- K3 J! x4 d4 J
C. priority of transactions% I9 e2 b2 G1 W% i- G
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答案和详解,登录后回复可见:. F% V" u8 {$ S9 y
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