注册金融分析师-注册金融分析师一级(上午)模拟11

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1、注册金融分析师一级（上午）模拟11MorningSession1MichaelAllen,CFAZworksforaninvestmentmanagementcompanyandmanagesportfoliosforavarietyofretailandinstitutiona丄clientsforhisfirm,includinghiswealthyuncle,allofwhompayamanagementfeeforhisservices.LawrenceBrown,ananalystatabrokeragefirmhasre

2、commendedAllenahighyieldhedgefundbasedonitshistoricalperformance.Allenpurchasesalargeblockofthishedgefundandallocatesproportionatelytoallclientportfolios,includinghisuncle1sportfolio.HasAllenmostlikelyviolatedtheStandardsofProfessionalConduct?A・No.B.Yes,relatingtosuita

3、bility・C.Yes,relatingtofairdealing.2、AmandaJanneyzCFAfisemployedasafixed-incomeportfoliomanage匕forCollinsAssetManagementInc.(CAM),alargeinternationalcapitalmanagementfirm.Janneysignedanon-competeagreementwithCAMwhenshejoinedCAM.TheagreementstrictlyrestrictsJanneyfromco

4、ntactingCAM1sclientsforfiveyearsafterleavingCAM•JanneyleavesCAMandimmediatelysetsupanothercompetingfirmherselfwhereJanneyusestheknowledgeandexperienceshelearnsatCAM.Inherfirstweekathernewfirm,Janneyusespublicinternetsearchingtofindsomeofherformerclientsandrecommendsher

5、newfirmtothem

6、sofProfessionalConductrelatingtopriorityoftransaction,whichofthefollowingprerequisitesisleastaccuratewhenconflictsbetweentheclient1sinterestsandaninvestmentprofessional1spersonalinterestsoccur?A.Theclientisnotdisadvantagedbythetradetakenfortheinvestmentprofessional.B.T

7、heinvestmentprofessionaldoesn1tenterintopersonaltransactionthatruncountertocurrentclienholdings•C•Theinvestmentprofessionalcomplieswithapplicableregulatoryrequirements•4、GeoffWhitman,CFA,isaportfoliomanagerforAdamTrustCompany,managersmanyaccountsofhigh-net-worthindivid

8、ualclients•CarolCochran,OneofWhitman1sclients,proposestoWhitmanthatnanyyearthatmyportfolioachievesatleast20percentret