注册金融分析师-注册金融分析师一级模拟2

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1、注册金融分析师一级模拟2MorningSession1Vivian,CFA,aresearchanalystassignedtoDoubleLimited,hasbeenrecommendingthestock1spurchaseinherquarterlyreport•Vivianhasrecentlymarriedandjustdiscoveredherhusband1strustaccountownsseveralmilliondollarsworthofDoubleLimited.Thestockmakesupmorethan50percentofthe

2、trust1svaluebut丄essthan5percentofDoubleLimited1soutstandingshares.AccordingtoAIMRStandardsofProfessionalConduct,Vivianshould:A.takenoactionbecausethestockisnotinhername•B•discloseherinterestinthestockatthetimeofhernextreport-C.ceaseincludingDoubleLimitedstockinherreport.2^Whichofthef

3、ollowingviolatestheAIMRStandardsofProfessionalConductontheappropriateuseoftheCharteredFinancialAnalystandCFAmark?TimmyhaspastLevelIIandisregisteredtotaketheLevel111examination•Inherresumeshestates#nIamaLevelIICandidateintheCFAProgram.nB.TimmyhaspassedallthreelevelsoftheCFAProgram,has

4、receivedhercharter,andisacharterholderingoodstanding.Shewritesonherbusinesscard,"TimmyWong,CharteredFinancialAnalyst.nC.TimmyhaspassedallthreelevelsoftheCFAProgram,hasreceivedhercharter,andisacharterholderingoodstanding.Hercompanywritesinpromotionalliterature”TimmyWongisoneoftwoCFAsi

5、nthecompany11•3^John,CFA,wantstoundertakeanindependentconsultingpracticewhileemployed.Hemustgetwrittenpermissionfrombothhisemployerandthecompanywhoishiringtheanalyst1sconsultingservices•AccordingtotheAIMRStandardsonProfessionalConduct,whichofthefollowingstatementsaboutthepermissionre

6、questismostcorrect?Thispermissionrequesttotheemployershouldmentionthe:A.typeofserviceshewillperform.B•compensationhewillreceive•C.alloftheabove.4、AspartofanAIMRinvestigationintotheconductofHelen,CFA,AIMRrequestsrecordsfromHelenaboutherinvestmentaccounts•HelenwritesAIMRaletterstatingt

7、hatunderStandardIVB・，PreservationofConfidentiality,thatsheisunabletocomplywiththeirrequest.WhichofthefollowingstatementisTRUE?A.iscorrectinherinterpretationofStandardIVB•.B.shouldnotturnovertheinformationbecauseitwillviolatefederalmmterialnonpublicinformationstatutesandAIMR1sStandard

8、VA.Prohibita