注册金融分析师-注册金融分析师一级模拟5

《注册金融分析师-注册金融分析师一级模拟5》由会员上传分享，免费在线阅读，更多相关内容在工程资料-天天文库。

1、注册金融分析师一级模拟5MorningSession1Paul,CFA,headstheresearchdepartmentofalargebrokeragefirm.Paulhassupervisoryresponsibilityover25analysts.IfPauldelegatessomesupervisoryduties,whichstatementbestdescribeshisresponsibilitiesbasedontheStandardsofProfessionalConduct?A.Paulisnotresponsibleforthosedutie

2、shehasdelegatedtohissubordinates•B.Paul1ssupervisoryresponsibilitiesonlyapplytoanalystswiththeCFAdesignation•C.Paulretainssupervisoryresponsibilityforallsubordinatesdespitehisdelegationofsomeduties.2、AlenBishopearnedthefighttousetheCFAdesignstioninSeptember1968.Alenrecentlyretiredfromthein

3、vestmentmanagementprofession.Asheisretired,AlennolongerattendsCFAInstitutesocietymeetingsandhasstoppedpayinghisCFAInstitutedues•AccordingtotheStandardsofPracticeHandbook,howshouldAlenrefertohisaffiliationwiththeCFAProgram?A.AlenBishop,CFA・B.AienBishop,CFA(retired).C・nIwasawardedtheCFAchart

4、erin1968.n3、AccordingtotheStandardsofPracticeHandbook,whichofthefollowingstatementsaboutfairdealingisleastaccurate?TheStandardrelatingtofairdealing:A.statesthatmembersshouldtreatallclientsequally.B・pertainstobothinvestmentrecommendationsandinvestmentactions•C•imposesadutywithrespecttobothc

5、lientsandprospectiveclients-4、DorothKelly,ainvestmentadvisor,enrolledtotaketheLevelmCFAexaminationin2004;however,hedidnottaketheexam>WhenheremployeraskedheraboutherstatusintheCFAprogram,KellyadvisedheremployerthatshewasconfidentthatshepassedLevelIIIandwouldbecometheCFAcharterholdersoon•Did

6、KellyviolatetheCFAInstitute1sStandardsofProfessionalConductrelatingtoprofessionalmisconductanddutytoemployer,respectively?ProfessionalmisconductdutytoemployerA.NoNoB・NoYesc.YesNo5^TheStandardsofPracticeHandbookisleastlikelytorequireamemberofmemberfsfirmtodisclosewhichofthefollowingtoclient

7、sandprospectiveclients?A.Underwritingrelationships•B•Market-makingactivities•C•ObligationtoabidebyCFAInstituteCodeofEthicsandStandardsofProfessionalConduct•6、HeidiKrueger,CFA,hasdiscretionaryauthorityovertheACCOuntsofJohnson,forwhomshemanagesaportfolioofenergy