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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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- N# t; H s ] ~1 U0 H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： z4 _4 l* L/ d% q& R5 I, U
1.《伦理道德与专业准则 Ethical and Professional Standards》! v0 X+ | e6 s9 f
2.《数量方法 Quantitative Method 》
, ]9 g2 \2 E) @8 a0 }3.《经济学 Economics》
/ {3 ?: J7 |5 D: `7 p& `+ `4.《财务报表分析 Financial Reporting and Analysis》* T4 J- Y, t) \3 S$ |% R$ F
5.《公司金融 Corporate Finance》
0 M- P9 q8 Y. `/ ^% t k. E4 r6.《权益类证券产品 Equity Investment》
6 E' h$ b! C% O7.《固定收益产品 Fixed Income》2 K- N$ p- u3 J% \
8.《金融衍生产品 Derivative Investments》+ l) j1 Z$ D8 {0 V N
9.《另类投资 Alternative Investments》
4 b' O8 A" K% x5 @" d: a10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》 y4 a7 F B7 i( _$ k
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第21题：0 I4 Y: `- I1 |3 h' p2 z
' f2 d8 D c, _' R7 [3 r' I21. 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:
2 ~6 V- Z# I! ^A. duty to clients
0 y( T4 q* ]5 f) |2 nB. reasonable basis1 r/ B+ s7 ^7 \- X H+ l4 m# L
C. priority of transactions/ M- Q8 [) S, o/ e
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答案和详解，登录后回复可见：
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* I$ C0 V# K5 G: e% c9 Y6 N- W8 A5 X 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
