CFA习题《职业道德》习题精炼：全球投资绩效标准及诉讼程序规则

来源: 正保会计网校编辑：某某 2020/09/08 09:29:13　字体：大小

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CFA习题一：全球投资绩效标准

Which of the following is not included in the nine major provisions of the Global Investment Performance Standards (GIPS)?

A Input Data, Calculation Methodology, and Real Estate

B Fundamentals of Compliance, Composite Construction, and Disclosure

C Calculation Methodology, Composite Construction, and Alternative Assets

CFA习题二：CFA研究所有关专业行为的诉讼程序规则的两项主要原则

Which of the following least likely reflects the two primary principles of the CFA Institute Rules of Procedure for Proceedings Related to Professional Conduct?

A Confidentiality of proceedings

B Public disclosure of disciplinary sanctions

C Fair process to the member and candidate

查看答案解析【习题一】

【答案】

【习题一】C

【解析】

C is correct because Alternative Assets is not among the nine major provisions or sections of the Global Investment Performance Standards, which include: Fundamentals of Compliance, Input Data, Calculation Methodology, Composite Construction, Disclosure, Presentation and Reporting, Real Estate, Private Equity, and Wrap Fee/Separately Managed Account (SMA) Portfolios.

A is incorrect because these are included in the nine major provisions of the GIPS.

B is incorrect because these are included in the nine major provisions of the GIPS.

查看答案解析【习题二】

【答案】

【习题二】（B）

【解析】

B is correct because the two principles of the Rules of Procedure for Proceedings Related to Professional Conduct are confidentiality of proceedings and fair process to the member and candidate. .

A is incorrect because the two principles of the Rules of Procedure for Proceedings Related to Professional Conduct are confidentiality of proceedings and fair process to the member and candidate.

C is incorrect because the two principles of the Rules of Procedure for Proceedings Related to Professional Conduct are confidentiality of proceedings and fair process to the member and candidate.

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