CFA Level1经典模拟试题1200道【一份十分经典的专业资料,打灯笼都找不到的好资料】.pdfCFA Level1经典模拟试题1200道【一份十分经典的专业资料,打灯笼都找不到的好资料】.pdf

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SCHWESERPRINTABLETESTSLEVEL1EXAM1MORNING180MINUTESLEVEL1EXAM1MORNINGYOUCANPRINTTHISPAGEBYGOINGTOFILEPRINTINYOURINTERNETBROWSERETHICS18QUESTIONS27MINUTESQUESTION123379BASEDONAIMRSSTANDARDSOFPROFESSIONALCONDUCT,WHICHOFTHEFOLLOWINGSTATEMENTSAREAVIOLATIONOFSTANDARDIVB6,PROHIBITIONAGAINSTMISREPRESENTATIONAAYOUNGTRAINEEBONDTRADERTELLSAPROSPECTIVECLIENTTHATSHECANASSISTTHECLIENTINALLTHECLIENTSINVESTMENTNEEDSEQUITY,FIXEDINCOME,ANDDERIVATIVESANDBASEDONHERYEARSOFEXPERIENCEASANANALYSTINTHEBUSINESSTHATANINVESTMENTLOOKSLIKEITHASLOTSOFPOTENTIALBALLOFTHESECANINVESTMENTMANAGERRECOMMENDSTOAPROSPECTIVECLIENT,ANINVESTMENTINMORTGAGEIOSTRIPSBECAUSETHEYAREGUARANTEEDBYANAGENCYOFTHEFEDERALGOVERNMENTDABROKERSAYSXYZSTOCKIS100GUARANTEEDTODOUBLEINVALUEOVERTHENEXTSIXMONTHSQUESTION228161ACCORDINGTOAIMRSSTANDARDSOFPROFESSIONALCONDUCTSTANDARDIB,FUNDAMENTALRESPONSIBILITIES,MEMBERSSHALLNOTKNOWINGLYPARTICIPATEORASSISTINLEGALANDETHICALVIOLATIONSANANALYSTAMUSTREPORTALLLEGALVIOLATIONSTOTHEPROPERREGULATORYCOMMISSIONANDISHELDRESPONSIBLEFORPARTICIPATINGINILLEGALACTSWHENTHELAWISEVIDENTTOANYONEKNOWINGTHELAWBISHELDRESPONSIBLEFORVIOLATIONSBYOTHERSWHENTHEANALYSTISUNAWAREOFTHEFACTSGIVINGRISETOTHEVIOLATIONCISHELDRESPONSIBLEFORPARTICIPATINGINILLEGALACTSWHENTHELAWISEVIDENTTOANYONEKNOWINGTHELAWANDCANPARTICIPATEINAVIOLATIONBYHAVINGKNOWLEDGEOFTHEVIOLATIONANDTAKINGNOACTIONTOSTOPITORDISASSOCIATEFROMITDISHELDRESPONSIBLEFORPARTICIPATINGINILLEGALACTSWHENTHELAWISEVIDENTTOANYONEKNOWINGTHELAWANDISHELDRESPONSIBLEFORVIOLATIONSBYOTHERSWHENTHEANALYSTISUNAWAREOFTHEFACTSGIVINGRISETOTHEVIOLATIONQUESTION328162WHICHOFTHEFOLLOWINGISAVIOLATIONBASEDONAIMRSSTANDARDSOFPROFESSIONALCONDUCTAAPORTFOLIOMANAGERACCEPTSFREETRADESFROMXYZFORHERPERSONALACCOUNTFORDIRECTINGTHEPORTFOLIOSTRADESTOXYZSHEDOESNOTINFORMHERMANAGERSINCETHEREISNOCASHINVOLVEDBAFTERINFORMINGHISMANAGER,APORTFOLIOMANAGERACCEPTSMONEYFORGIVINGABROKERINFORMATIONRELATINGTOACLIENTSFINANCIALSTANDINGCAPORTFOLIOMANAGERISOFFEREDAFREEVACATIONTOINCREASEPERFORMANCEATTHEENDOFTHEYEARPERFORMANCEISUPANDTHEMANAGERACCEPTSTHEVACATIONAFTERINFORMINGHISMANAGEROFTHEFACTDAPORTFOLIOMANAGERISUNEXPECTEDLYOFFEREDAVACATIONATYEARENDFROMACLIENTWHOWASPLEASEDWITHTHEIRPORTFOLIOSPERFORMANCETHEMANAGERACCEPTSTHEVACATIONAFTERINFORMINGHERMANAGEROFTHEFACTQUESTION428165BASEDONAIMRSSTANDARDSOFPROFESSIONALCONDUCT,WHICHOFTHEFOLLOWINGSTATEMENTSAREAVIOLATIONOFSTANDARDIVB6,PROHIBITIONAGAINSTMISREPRESENTATIONAAYOUNGTRAINEEBONDTRADERTELLSAPROSPECTIVECLIENTTHATSHECANASSISTTHECLIENTINALLTHECLIENTSINVESTMENTNEEDSEQUITY,FIXEDINCOME,ANDDERIVATIVESANDBASEDONHERYEARSOFEXPERIENCEASANANALYSTINTHEBUSINESSTHATANINVESTMENTLOOKSLIKEITHASLOTSOFPOTENTIALBANINVESTMENTMANAGERRECOMMENDSTOAPROSPECTIVECLIENT,ANINVESTMENTINMORTGAGEIOSTRIPSBECAUSETHEYAREGUARANTEEDBYANAGENCYOFTHEFEDERALGOVERNMENTCABROKERSAYSXYZSTOCKIS100GUARANTEEDTODOUBLEINVALUEOVERTHENEXTSIXMONTHSDALLOFTHESEQUESTION528167WHICHONEOFTHEFOLLOWINGISNOTCONSISTENTWITHAIMRSPERFORMANCEPRESENTATIONSTANDARDSACASHANDCASHEQUIVALENTSMUSTBEINCLUDEDINCOMPOSITERETURNSBALLACTUAL,FEEPAYING,DISCRETIONARYPORTFOLIOSSHOULDBEINCLUDEDINATLEASTONECOMPOSITECINVESTMENTPERFORMANCEISTHERECORDOFTHEMANAGERNOTTHEFIRM,ALLCHANGESINPERSONNELSHOULDBEACCOUNTEDFORBYADJUSTINGTHECOMPOSITESPERFORMANCEHISTORYDPRESENTATIONOFPERFORMANCEMAYBEEITHERGROSSORNETOFINVESTMENTMANAGEMENTFEES,ASLONGASTHEMETHODANDTHEFEESCHEDULEAREDISCLOSEDQUESTION628168UNDERTHEEMPLOYEERETIREMENTINCOMESECURITYACTERISA,APERSONISAFIDUCIARYIFHEORSHEAHASDISCRETIONARYAUTHORITYINTHEADMINISTRATIONOFTHEPENSIONPLAN;RENDERSINVESTMENTADVICEFORAFEEWITHRESPECTTOAPENSIONPLANSASSETS;EXERCISESANYDISCRETIONARYAUTHORITYWITHTHEMANAGEMENTOFTHEPENSIONPLANORITSASSETSBHASANEXECUTIVEPOSITIONINTHEFIRMSPONSORINGTHEPENSIONPLANCHASANEXECUTIVEPOSITIONINTHEFIRMSPONSORINGTHEPENSIONPLAN;HASDISCRETIONARYAUTHORITYINTHEADMINISTRATIONOFTHEPENSIONPLANDEXERCISESANYDISCRETIONARYAUTHORITYWITHTHEMANAGEMENTOFTHEPENSIONPLANORITSASSETSQUESTION729219THEREAREFOURCOMPONENTSOFTHEAIMRCODEOFETHICSALLOFTHEFOLLOWINGAREPARTOFTHECODEOFETHICSEXCEPTAPRACTICEANDENCOURAGEOTHERSTOPRACTICEINAPROFESSIONALANDETHICALMANNERTHATWILLREFLECTCREDITONMEMBERSANDTHEIRPROFESSIONBSTRIVETOMAINTAINANDIMPROVETHECOMPETENCEOFREGULATORYBODIESSUCHASTHESECURITIESANDEXCHANGECOMMISSIONSECCSTRIVETOMAINTAINANDIMPROVETHECOMPETENCEOFOTHERSINTHEPROFESSIONDUSEREASONABLECAREANDEXERCISEINDEPENDENTPROFESSIONALJUDGMENTQUESTION829220AIMRBELIEVESATHATAMAXIMUMLEVELOFPROFESSIONALRESPONSIBILITYANDCONDUCTDICTATESTHATMEMBERSBEAWAREOFANDCOMPLYWITHLAWS,RULES,ANDREGULATIONSGOVERNINGTHEIRCONDUCTBCOMPANIESSHOULDSETSTANDARDSBASEDONTHEETHICSOFUPPERMANAGEMENTANDTHEBOARDOFDIRECTORSCTHATFIRMSSHOULDCOMPLYWITHALLDOMESTICLAWSANDREGULATIONSANDTHATTHESELAWSALSOGOVERNBEHAVIORINFOREIGNMARKETS,REGARDLESSOFFOREIGNLAWSANDREQUIREMENTSDTHATAMINIMUMLEVELOFPROFESSIONALRESPONSIBILITYANDCONDUCTDICTATESTHATMEMBERSBEAWAREOFANDCOMPLYWITHLAWS,RULES,ANDREGULATIONSGOVERNINGTHEIRCONDUCTQUESTION929221WHICHOFTHEFOLLOWINGSTATEMENTSABOUTTHEAIMRCODEANDSTANDARDSISTRUETHECODEANDSTANDARDSAREQUIRETHATMEMBERSREPORTLEGALVIOLATIONSTOTHEAPPRO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本文标题:CFA Level1经典模拟试题1200道【一份十分经典的专业资料,打灯笼都找不到的好资料】.pdf
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