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[主观题]

Teresa Avila, CFA is a micro cap investment analyst at a hedge fund. The fund requires Avila to hold any securities she recommends for the fund in her own account as well. Because Avila has such a sma

A、No.

B、Yes,related to Misconduct.

C、Yes,related to Priority of Transactions.

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第1题

Frist Investments, Inc. has just hired Michael Pulin to manage institutional portfolios, most of which are pension related. Pulin has just taken the Level III CFA exam and is awaiting his results. Pul

A、Has many years of investment experience which,along with his participation in the CFA program,will allow him to deliver superior investment performance relative to other managers.

B、Is a CFA Level III and passed the first two exams on the first attempt.He is an affiliate member of the CFA Institute.We expect him to become a regular member if he passes the Level III examination.

C、Is a Level III CFA candidate and has many years of excellent performance in the investment management industry.Pulin is an affiliate member of the CFA Institute and will be eligible to become a CFA charterholder and regular member if he passes the Level III CFA Exam.

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第2题

Tibor Figeczky, CFA, is an equity trader at Global Investment Bank （GB）, Figeczky traded the banks investment portfolio profitably for the past three years and earned significant bonuses for his effor

A、Disclose the complaint to the CFA Institute.

B、Refuse further bonuses until the issue is resolved.

C、Request a temporary suspension of his CFA Institute membership.

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第3题

On a flight to Europe, Romy Haas, CFA, strikes up a conversation with a fellow passenger, Vincent Trujillo. When Trujillo learns Haas is in the investment profession, he asks about the CFA designation

A．Statement 1

B．Statement 3

C．Statement 2

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第4题

A．Statement 1

B．Statement 2

C．Statement 3

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第5题

Linda Chin, CFA, is a member of a political group advocating less governmental regulat

ion in all aspects of life. She works in a country where local securities laws are minimal and insider trading is not prohibited. Chin’s politics are reflected in her investment strategy, where she follows her country’s mandatory legal and regulatory requirements. Which of the following actions by Chin is most consistent with the CFA Institute Standards of Professional Conduct？

A. Follow the CFA Code and Standards.

B. Continue her current investment strategy.

C. Disclose her political advocacy to clients.

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第6题

After passing all three levels of the CFA exams on her first attempts and being awarded her CFA Charter, Paula Osgood is promoting her new money management firm by issuing an advertisement. Which of t

A、"To earn the right to use the CFA designation,Paula passed three exams covering ethics,financial statement analysis,asset valuation,and portfolio management."

B、"Paula passed three 6-hour exams on her first attempts and is a member of her local investment analyst society."

C、"Because of her extensive training,Paula will be able to achieve better investment results than managers who have not been awarded the CFA designation."

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第7题

Pia Nilsson is a sole proprietor investment advisor. The economic recession has reduced the number of clients she advises and caused revenues to decline. As a result, Nilsson has not paid her CFA Inst

A、Nonpayment of CFA Institute membership dues

B、Attributing her superior returns to participation in the CFA Program

C、Indicating that being a CFA charter-holder has enhanced her portfolio management skills

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第8题

Jan Loots, CFA, quit his job as a portfolio manager at an investment firm with whom he had a non-solicitation agreement he signed several years ago. Loots received permission to take his investment pe

A、Trading software.

B、non-solicitation agreement.

C、Investment performance history.

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第9题

Charles Mbuwanga, a Level III CFA Candidate, is the business development manager for Sokoza Investment Group, an investment management firm with high-net-worth retail clients throughout Africa. Sokoza

A、Suitability

B、Knowledge of the Law

C、Independence and Objectivity

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