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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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# l' D; z L2 R% d4 k9 D! Y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：
9 Q# {8 ?3 m& F( V( d5 r1 f- v1.《伦理道德与专业准则 Ethical and Professional Standards》
1 I( D4 v! f; F2.《数量方法 Quantitative Method 》
9 K- a4 ^) V3 N" t! a& c3.《经济学 Economics》
' B4 m% `: B/ ~$ K+ A4.《财务报表分析 Financial Reporting and Analysis》
: S3 ? A; k4 a# M! i5.《公司金融 Corporate Finance》; F+ s) `( s. I; v3 a/ [3 j+ B
6.《权益类证券产品 Equity Investment》/ q" _# x6 q2 Y6 X7 K6 |& \; ]
7.《固定收益产品 Fixed Income》3 ?/ ]9 Z" f/ H* B( \. v- X
8.《金融衍生产品 Derivative Investments》
! g/ C# l% }' N* u$ [9.《另类投资 Alternative Investments》
; l- f% ~$ f3 Z+ k4 l9 H5 K# \" y' _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：6 N/ J8 G5 r( N/ _" V$ `
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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:
4 ?( u1 S$ e+ ^3 V0 H/ N1 iA. duty to clients
7 u* e" ~% U7 o h( uB. reasonable basis
: B l) b x3 q* D9 v4 iC. priority of transactions
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; b' B3 M- e# {' s7 T& ?答案和详解，登录后回复可见：/ o( S8 Q4 l; T& l$ ^6 L
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发表于 2015-8-1 09:00:04
