CFA历年高频考点4 立即收藏>>

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【CFA习题】

1.Diana Fairbanks, CFA, is married to an auditor who is employed at a large accounting firm. When her husband mentions that a computer firm he audits will receive a qualified opinion, she thinks nothing of it. Later that week, when she reviews a new client account, she notices there are substantial holdings of this computer firm. When she does a thorough internet search for news on the company, she does not find anything about its most recent audit or any other adverse information. Which of the following actions concerning the computer stock should Fairbanks most likely take to avoid violating the CFA Institute Standards of Professional Conduct? 

 A. Complete a thorough and diligent analysis of the company and then sell the stock. 

 B. Sell the stock immediately because she has a reasonable basis for taking this investment action. 

 C. Take no investment action.

【CFA习题】

2.Margie Germainne, CFA, is a risk management consultant who has been asked by a small investment bank to recommend policies to prevent bank employees from front running client orders. These clients generally invest in one or more of the bank's large cap equity unit trusts. To ensure compliance with the CFA Institute Standards of Professional Conduct, Germainne should least likely recommend which of the following? Employees should be restricted from trading: 

A. equity-related securities. 

B. without prior permission. 

C. during established time periods.

有时候，你必须一个人走，这不是孤独，而是选择。我们时时刻刻都在选择，你选择过什么样的生活就需要付出什么样的代价。既然选择了CFA，就要朝着它勇敢向前，每天进步一点点，基础扎实一点点，通过考试也就会更容易一点点。