2011_CFA_Level_I_mock_exam_morning

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1、2011LevelIMockExam:MorningSessionThemorningsessionofthe2011LevelICharteredFinancialAnalyst®MockExaminationhas120questions.Tobestsimulatetheexamdayexperience,candidatesareadvisedtoallocateanaverageof1.5minutesperquestionforatotalof180minutes(3hours)forthissess

2、ionoftheexam.QuestionsTopicMinutes1-18EthicalandProfessionalStandards2719-32QuantitativeMethods2133-44Economics1845-68FinancialStatementAnalysis3669-78CorporateFinance1579-90EquityInvestments1891-96DerivativeInvestments997-108FixedIncomeInvestments18109-114Al

3、ternativeInvestments9115-120PortfolioManagement9Total:180Byaccessingthismockexam,youagreetothefollowingtermsofuse:Thismockexamisprovidedtocurrently-registeredCFAcandidates.Candidatesmayviewandprinttheexamforpersonalexampreparationonly.Thefollowingactivitiesar

4、estrictlyprohibitedandmayresultindisciplinaryand/orlegalaction:accessingorpermittingaccessbyanyoneotherthancurrently-registeredCFAcandidates;copying,postingtoanywebsite,emailing,distributingand/orreprintingthemockexamforanypurpose.Questions1through18relatetoE

5、thicalandProfessionalStandards.1.GabrielleGabbe,CFAhasbeenaccusedofprofessionalmisconductbyoneofhercompetitors.TheallegationsconcernGabbe'spersonalbankruptcyfilingtenyearsagowhenshewasacollegestudentandhadalargeamountofmedicalbillsshecouldnotpay.Bynotdisclosi

6、ngthebankruptcyfilingtoherclients,didGabbemostlikelyviolateanyCFAInstituteStandardsofProfessionalConduct?A.No.B.Yes,relatedtoMisconduct.C.Yes,relatedtoMisrepresentation.2.BryanBarrett,CFAhasaninvestmentadvisoryserviceprovidingadviceongoldandothercommoditiesto

7、severallargeretailbanks.Barrettadvertiseshisservicesinwidelyreadpublicationstobroadenhisbusinesstoincluderetailclients.BecausetheclientbasefortheinstitutionsthatBarrettservesislarge,heiscomfortablestatingintheadsthatthousandsofhisclientshavebenefitedfromhisad

8、vice.DoesBarrett'sadvertisementmostlikelyviolateanyCFAInstituteStandardsofProfessionalConduct?A.No.B.Yes,relatedtoMisrepresentation.C.Yes,relatedtoCommunicationwithClients.3.Whileatabarin