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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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! w q/ z- i; ^* 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，全都含答案详解：
* u$ ~5 d/ j4 A1.《伦理道德与专业准则 Ethical and Professional Standards》$ c: w% S9 a' s7 t9 {3 u
2.《数量方法 Quantitative Method 》$ [ F+ ]4 A8 i* w
3.《经济学 Economics》+ ^4 c% B( L: Q# H
4.《财务报表分析 Financial Reporting and Analysis》9 A2 c0 Q! d! t0 \/ X! H
5.《公司金融 Corporate Finance》8 q% ]! S/ K! L) n
6.《权益类证券产品 Equity Investment》
1 ~# E' b1 B6 }% i7.《固定收益产品 Fixed Income》
+ N% a" N0 z6 b+ }# S2 Q8.《金融衍生产品 Derivative Investments》
) \0 z( p# Z2 G( ?6 N7 e3 ~4 |& `: i9.《另类投资 Alternative Investments》
6 _2 q4 G# N7 [8 t: J& I6 P10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》0 t1 r* n( v: }8 `: s% _, [6 z
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) S p& P, [; ]) c7 h& M第21题：
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9 |/ Y+ b: s; T3 O3 ~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:
9 k3 B/ e. d/ B( {4 ~A. duty to clients$ y4 P; r H5 K/ Y
B. reasonable basis: c5 h( n' n3 t* m8 L4 L' ]+ K; c3 i
C. priority of transactions' V$ t: u! n) n8 G4 J
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答案和详解，登录后回复可见：
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+ ^4 P, r* u$ e3 H. E7 R 大家如果对这题有疑问或者其他的问题也可以跟帖回复，论坛特邀老师将会在线回答哦! |
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发表于 2015-8-1 09:00:04
