CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx

上传人:王** 文档编号:706568 上传时间:2023-12-15 格式:DOCX 页数:53 大小:150.73KB
下载 相关 举报
CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx_第1页
第1页 / 共53页
CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx_第2页
第2页 / 共53页
CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx_第3页
第3页 / 共53页
CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx_第4页
第4页 / 共53页
CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx_第5页
第5页 / 共53页
CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx_第6页
第6页 / 共53页
CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx_第7页
第7页 / 共53页
CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx_第8页
第8页 / 共53页
CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx_第9页
第9页 / 共53页
CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx_第10页
第10页 / 共53页
亲,该文档总共53页,到这儿已超出免费预览范围,如果喜欢就下载吧!
资源描述

《CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx》由会员分享,可在线阅读,更多相关《CFA一级历年模拟考试(2015-2019):2015_CFA_Level_1_Mock_Exam_morning_questions&answers_removed.docx(53页珍藏版)》请在优知文库上搜索。

1、1.VishalChandarana,anunemployedresearchanalyst,recentlyregisteredfortheCFALevelIexam.Aftertwomonthsofintenseinterviewing,heacceptsajobwithastockbrokeragecompanyinadifferentregionofthecountry.ChandaranapostsonabloghowbeingaCFAcandidatereallyhelpedhimgetajob.Healsonoteshowrelievedhewaswhenhisnewemploy

2、erdidnotaskhimaboutbeingfiredfromhisformeremployer.WhichCFAInstituteStandardsofProfessionalConductdidChandaranaleastlikelyviolate?A.LoyaltytoEmployersB.ReferencetoCFAInstitute,theCFADesignation,andtheCFAProgramC.MisconductAnswer=BThereisnoevidenceChandaranaviolatedStandardVII(B)-ReferencetoCFAInstit

3、ute,theCFADesignation,andtheCFAProgramwithregardtohisbeingaCFAcandidate.Specifically,ChandaranadoesnotoverstatehiscompetencyorimplyhewillachievesuperiorperformanceasaresultofhisCFAdesignation.Itdoesappearthowever,Chandaranadidnotactwithintegritywhenhehidinformationthatcouldpotentiallyharmhisnewemplo

4、yersreputation,thusviolatingStandardI(D)-MisconductandStandardIV(八)-LoyaIty.CFALevelIuGuidanceforStandardsI-Vll,StandardVII(B)-ReferencetoCFAInstitute,theCFADesignation,andtheCFAProgram,StandardI(D)-ProfessionaIism,StandardIV(八)-DutytoEmployers2.DavidDonniganenrolledtotaketheLevelIlCFAexaminationint

5、hecurrentyear,buthedidnottaketheexam.DonniganadvisedhisemployerthathepassedLevelII.Subsequently,heregisteredtotaketheLevelIlexamthenextyear.WhichCFAInstituteStandardsofProfessionalConductdidDonniganleastlikelyviolate?Thestandardrelatedto:A.referencingcandidacyintheCFAProgram.B.dutytoemployer.C.profe

6、ssionalmisconduct.Answer=ABecauseheregisteredtotaketheexaminthenextyear,DonniganstillqualifiestostateheisacandidateintheCFAProgram.Hewouldnot,however,beauthorizedtoreferencethatheisaLevelIIIcandidateand,ifasked,wouldneedtospecifiythatheisaLevelIlcandidate.CFALevelIuGuidanceforStandardsI-Vll,CFAInsti

7、tuteStandardI(D)1StandardIV(八)3.IanOSullivan,CFA1istheownerandsoleemployeeoftwocompanies,apublicrelationsfirmandafinancialresearchfirm.ThepublicrelationsfirmenteredintoacontractwithMalloryEnterprisestoprovidepublicrelationsservices,withOrSuIIivanreceiving40,000sharesofMallorystockinpaymentforhisserv

8、ices.Overthenext10days,thepublicrelationsfirmissuedseveralpressreleasesthatdiscussedMallory,sexcellentgrowthprospects.O,Sullivan,throughhisfinancialresearchfirm,alsopublishedaresearchreportrecommendingMallorystockasabuy.AccordingtotheCFAInstituteStandardsofProfessionalConduct,OSullivanismostlikelyre

9、quiredtodisclosehisownershipofMallorystockin:A.thepressreleasesonly.B.theresearchreportoniy.C.boththepressreleaseandtheresearchreport.Answer=CMembersshoulddiscloseallmattersthatreasonablycouldbeexpectedtoimpairthemembersobjectivityasoutlinedinStandardI(B)1andStandardVI(八).CFALevelIuGuidanceforStanda

10、rdsI-Vll,CFAInstituteStandardI(B),StandardVI(八)4.JamesWoods,CFA,isaportfoliomanageratABCSecurities.Woodshasreasonablegroundstobelievehiscolleague,SandraClarke,aCFALevelIlcandidate,isengagedinunethicaltradingactivitiesthatmayalsobeinviolationoflocalsecuritieslaws.WoodsisnotClarkessupen/isor,andheract

11、ivitiesdonotimpactWoodsoranyoftheportfoliosforwhichheisresponsible.BasedontheCodeandStandards,therecommendedcourseofactionisforWoodsto:A.reportSandraClarketoABCstradingsupervisororcompliancedepartment.B.nottakeanyactionbecauseheisnotdirectlyinvolved.C.reportSandraClarketotheappropriategovernmentalor

12、regulatoryorganization.Answer=AUnderStandard1(八)insituationswhereamemberorcandidateisawareofemployerengagementinunethicalorillegalactivity,itisrecommendedthattheyattempttostopthebehaviorbybringingittotheattentionofasupervisororthefirmscompliancedepartment.CFALevelIGuidanceforStandardsI-Vll,CFAInstit

13、uteStandardI(八)5.AfterafirmpresentsaminimumrequirednumberofyearsofGIPS-compliantperformance,thefirmmustpresentanadditionalyearOfperformanceeachyear,buildinguptoaminimumof:A.10yearsofGIPS-CompIiantperformance.B.15yearsofGIPS-CompIiantperformance.C.5yearsofGIPS-CompIiantperformance.Answer=AAfterafirmp

14、resentsaminimumoffiveyearsofGIPS-CompIiantperformance,thefirmmustpresentanadditionalyearofperformanceeachyear,buildingptoaminimumof10yearsofGIPS-compliantperformance.CFALevelI,TheGIPSStandards;*CFAInstituteSection:HistoricalPerformanceRecordMadelineSmith,CFA,wasrecentlypromotedtoseniorportfoliomanag

15、er.Inhernewposition,Smithisrequiredtosupervisethreeportloliomanagers.SmithasksforacopyofherfirmswrittensupervisorypoliciesandproceduresbutisadvisedthatnosuchpoliciesarerequiredbyregulatorystandardsinthecountrywhereSmithworks.AccordingtotheStandardsofPracticeHandbook,Smithsmostappropriatecourseofacti

16、onwouldbeto:A.declinetoacceptsupervisoryresponsibilityuntilherfirmadoptsprocedurestoallowhertoadequatelyexercisesuchresponsibility.B.requiretheemployeesshesupervisestoadopttheCFAInstituteCodeofEthicsandStandardsofProfessionalConduct.C.requireherfirmtoadopttheCFAInstituteCodeofEthicsandStandardsofProfessionalConduct.Answer=AAccordingtoguidanceforStandard(IV(C),ifamembercannotfulf

展开阅读全文
相关资源
猜你喜欢
相关搜索

当前位置:首页 > 资格/认证考试 > 证券从业资格考试

copyright@ 2008-2023 yzwku网站版权所有

经营许可证编号:宁ICP备2022001189号-2

本站为文档C2C交易模式,即用户上传的文档直接被用户下载,本站只是中间服务平台,本站所有文档下载所得的收益归上传人(含作者)所有。装配图网仅提供信息存储空间,仅对用户上传内容的表现方式做保护处理,对上载内容本身不做任何修改或编辑。若文档所含内容侵犯了您的版权或隐私,请立即通知装配图网,我们立即给予删除!