| CFA一级例题（一） |
|
http://www.gxzs.com 2005-1-31
http://edu.dahew.com
|
|
|
|
|
|
1、A stated objective of the CFA Institute's Global Investment Performance Standards
(GIPS) is to:
A. encourage individual investment companies to develop the Code of Ethics internally.
B. foster superior investment performance and return among CFA Institute members.
C. promote the notion of self-regulation.
D. support the standards developed internationally by top-performing investment
companies.
2、Jack, CFA, is head of the equities research department for ABC Asset Management. Jack sent a memo to all equity analysts stating that, in the future, their involvement in ABC's investment banking transactions as well as the number and quality of their research report would be rewarded in ABC's annual performance evaluation of each analyst. The memo asked the analysts to provide detailed information regarding their participation in the origination, execution, and follow-up for each transaction. According to the CFA Institute Standards of Practice Handbook, Jack:
A. did not violate any AIMR Standards.
B. violated only CFA Institute's Standard relating to misrepresentation.
C. violated only CFA Institute's Standard relating to responsibilities of supervisors.
D. violated CFA Institute's Standards relating to both misrepresentation and disclosure of compensation arrangements.
3、Under the Prudent Man Rule, trustees need nm set the proper balance of proprieties between:
A. principal protection and current income.
B. the interest of trustees and the interests of beneficiaries.
C. expected income and probable safety of capital.
D. the interest of current beneficiaries and the interest of the remainderman and secondary beneficiaries.
4、The CFA Institute Standards of Practice Handbook is least likely to require a member or member's firm to disclose which of the following to clients and prospective clients?
A. Market-making activities.
B. Underwriting relationships.
C. Service as directors of a company's board.
D. Obligation to abide by CFA Institute's Code of Ethics and Standards of Professional Conduct.
5、7. According to the CFA Institute Standards of Practice handbook, insider trading is the least likely to be prevented by establishing:
A. fire walls.
B. watch list.
C. restricted list.
D: selective disclosure. |
|
|
|
|
|
特别说明：由于各方面情况的不断调整与变化，广西招生网所提供的所有信息为非商业性的教育和科研之目的，并不意味着赞同其观点或证实其内容的真实性，仅供参考，相关信息敬请以权威部门公布的正式信息为准。
|
|
| 【字体：小 大】【刷新】【打印】【返回顶部】【关闭本页】 |
|
广西招生网版权与免责声明：
① 凡本站注明“来源：广西招生网”的所有文字、图片和音视频稿件，版权均属本网所有，任何媒体、网站或个人未经本网协议授权不得转载、链接、转贴或以其他方式复制发表。已经本站协议授权的媒体、网站，在下载使用时必须注明“来源：广西招生网”，违者本站将依法追究责任。
② 本站注明来源为其他媒体的文/图等稿件均为转载稿，本站转载出于非商业性的教育和科研之目的，并不意味着赞同其观点或证实其内容的真实性。如转载稿涉及版权等问题，请作者在两周内速来电或来函联系。
|
|
|
|
|
