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CFA一级考试科目道德自编测试题!

日期: 2019-10-25 17:04:53 作者: 刘晓芒

  CFA一级考试科目道德自编测试题!今天小编给大家带来几道CFA一级考试题,快来做一下吧!

  cfa考试试题。①Which of the following is most likely part of the CFA Institute Standards of Professional Conduct,Standard I–Professionalism?Members and candidates:

  A.must understand and comply with all applicable laws.

  B.must not engage in practices that distort prices or artificially inflate trading volume with the intent to mislead market participants.

  C.must deal fairly and objectively with all clients when providing investment analysis,making investment recommendations,taking investment action,or engaging in other professional activities.

  Answer:A

  A选项为正确选项,会员及候选人知道及遵守适用法律来自职业准则第一大准则专业性的第一条细则:知晓并且遵守法律。

  B选项为错误选项,会员及候选人不能歪曲价格或人为操纵交易量来误导市场参与者属于职业准则中第二大准则的第二条细则:市场操纵。

  C选项为错误选项,会员及候选人在向客户提供投资分析、投资建议、做出投资行动、及其它时应该保持公平及客观属于职业准则中第三大原则的第二条细则:公平对待。

  难度:中

  ②Yuan,CFA,is chief investment officer of Golden Securities.Recently,Yuan found that their company's promotional materials for marketing activities had a mistake.The value of their management asset list on the material was higher than their current actual market value.Yuan realized the reason might be recent market volatility.Which of the following actions is most accurate to comply with the CFA Institute Code and Standard.

  A.Do nothing,because the day material made,the value was correct.

  B.Correct the asset value and add a footnote indicating the day that the value calculated.

  C.Report the mistake to government regulators.

  Answer:B

  解析:

  B是正确答案。发现错误需要及时更正,根据I(A)Knowledge of the Law不作为会被视为参与。

  A错。因为题干的做法会对客户产生一个误导,让客户误以为他们公司管理的资产规模就有他们所宣传的那么大,但是实际上没有。

  C错。根据I(A)Knowledge of the Law协会并不要求我们出现问题就一定要向政府报告。

  难度:易

  ③Yuan,CFA,is a bond research analyst in XYZ securities.XYZ securities hold a large position in the bond of Carly Group.In last week,many securities company change the stock recommendation of Carly Group,since the disappointing financial report just released.It also led to the collapse of Carly bond prices.Yuan’s supervisor asked Yuan to call their clients and convinced them to continue holding the bonds of Carly Group.However,Yuan had a different thought.He believed the Carly bond price was overvalued.Which of the following action is the most appropriate to comply with the CFA Institute Code of Ethics and Standards of Professional Conduct,Yuan should:

  A.make these calls with prominent disclose.

  B.follow his supervisor’s request,because of the chain of command.

  C.deny his supervisor’s request.

  Answer:C

  解析:

  C是正确答案。根据I(B)Independence and Objectivity,Yuan不应该受到公司内部的压力去影响他的独立客观的判断,他认为债券价格是被高估了,所以他不应该去向他的客户去推销该债券。

  A错。因为Yuan不应该被他的主管威逼利诱去打推销电话,如果他打了就是说明他的独立客观性被影响了,即使披露也不行。

  B错。因为不能收到内部的压力影响分析师的独立客观性。

  难度:易

  ④To minimize the impact material nonpublic information inside the investment firm,which of the following actions are appropriate except:

  A.Banning personal trading.

  B.Building firewalls.

  C.Cutting compliance department to increase efficiency.

  Answer:C

  解析:

  C是正确答案。裁撤合规部门并不能减小重大非公开信息在公司内部的流通。注意题目问的是“except”

  A是错误的。因为禁止员工的个人交易可以有效减小重大非公开信息的影响。

  B是错误的。因为建立防火墙可以有效减小重大非公开信息的影响。

  难度:中

  ⑤Yuan,CFA,is a famous research analyst works on Golden Securities.Sam Group appreciates Yuan’s research report quality and invites him to write an issuer-paid research report.According to the CFA Institute Code of Ethics and Standards of Professional Conduct,Yuan should:

  A.accept this assignment with a flat fee and disclose this relationship in the report.

  B.accept this assignment with a fee linked the Sam Group stock price and disclose the fee in the report.

  C.reject this assignment because it will compromise his independence and objectivity.

  Answer:A

  解析:

  A是正确答案。根据I(B)Independence and Objectivity要求,分析师写issuer-paid research必须要披露和目标公司之间的雇佣关系,并且只能收取固定费用,不能和结果挂钩。

  B是错误答案。issuer-paid research费用不能和结果挂钩。

  C是错误答案。协会并没有禁止你写issuer-paid research。

  难度:易

  那么以上则是小编给大家分享的CFA一级考试科目道德自编测试题,有关CFA考试的相关内容,请关注乐考网


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