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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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- E' a& m! X q+ h0 G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：' [5 ~$ e% l- \: T
1.《伦理道德与专业准则 Ethical and Professional Standards》
; L) l, I7 I, ?9 I$ p: g2.《数量方法 Quantitative Method 》( @/ g- a; T: H( i+ T# X' z
3.《经济学 Economics》' a( W3 o0 X3 Q; D4 E( g
4.《财务报表分析 Financial Reporting and Analysis》- I; ~4 ?6 N. r5 O
5.《公司金融 Corporate Finance》
5 U, |: Y3 _! ]2 A9 Z, w0 |6.《权益类证券产品 Equity Investment》
, r: l' g0 [ t2 V1 h4 d E; ]7.《固定收益产品 Fixed Income》3 z. O( v @, J) N' T6 ], Z! ~
8.《金融衍生产品 Derivative Investments》9 r4 |9 k% \7 _! q: X6 d7 S C
9.《另类投资 Alternative Investments》
; ~8 R- V; {* n0 i10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》2 B8 S1 p3 D- W5 d
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& [0 w9 s+ E$ f! F C! `- N第21题：
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" Q' R0 {& a, A' L6 k- h21. 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:+ W. X$ \- q! b H: f* e/ m% d, X
A. duty to clients
+ V' L) Y! K3 }B. reasonable basis
8 T& M3 T6 M7 x+ S7 fC. priority of transactions
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答案和详解，登录后回复可见：0 P$ k2 O7 Y! S# i
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发表于 2015-8-1 09:00:04
