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时间:2019-07-16
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1、2013LevelIMockExam:MorningSession®Themorningsessionofthe2013LevelICharteredFinancialAnalyst(CFA)MockExaminationhas120questions.Tobestsimulatetheexamdayexperience,candidatesareadvisedtoallocateanaverageof1.5minutesperquestionforatotalof180minutes(3hours)forthissessionoftheexam.Questio
2、nsTopicMinutes1–18EthicalandProfessionalStandards2719–32QuantitativeMethods2133–44Economics1845–68FinancialStatementAnalysis3669–78CorporateFinance1579–90EquityInvestments1891–96DerivativeInvestments997–108FixedIncomeInvestments18109–114AlternativeInvestments9115–120PortfolioManageme
3、nt9Total:180Questions1through18relatetoEthicalandProfessionalStandards.1.BaileyWatson,CFAmanages25emergingmarketpensionfunds.Herecentlyhadtheopportunitytobuy100,000sharesinapubliclylistedcompanywhoseprospectsareconsidered“aboveindustrynorm”bymostanalysts.Thecompany’ssharesrarelytrade
4、becausemostmanagerstakea“buyandhold”strategybecauseofthecompany’ssmallfreefloat.Beforeplacingtheorderwithhisdealer,Watsonallocatedthesharestobepurchasedaccordingtotheweightedvalueofeachofhisclients’portfolios.Whenitcametimetoexecutethetrades,thedealerwasonlyabletopurchase50,000shares
5、.TopreventviolatingStandardIII(B)FairDealing,itwouldbemostappropriateforWatsontoreallocatethe50,000sharespurchasedby:A.reducingeachpensionfund’sallocationproportionately.B.distributingthemequallyamongstallthepensionfundportfolios.C.allocatingrandomlybutgivingfundsleftoutpriorityonthe
6、nextsimilartypetrade.2.DilshanKumar,CFA,isaworld-renownedmininganalystbasedinLondon.Recently,hereceivedaninvitationfromCerberusMining,aLondonStockExchangelistedcompanywithheadquartersinJohannesburg,SouthAfrica.CerberusaskedKumartojoinagroupofprominentanalystsfromaroundtheworldonatour
7、ofitsminesinSouthAfrica,someofwhichareinremotelocations,noteasilyaccessible.TheinvitationalsoincludesanarrangedwildlifesafaritoKruegerNationalParkfortheanalysts.Kumaracceptstheinvitation,planningtovisitotherminingcompanieshecoversinNamibiaandBotswanaafterthesafari.Topreventviolatinga
8、nyCFAInstitu
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