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[主观题]

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1题

Carlos Cruz, CFA, is one of two founders of an equity hedge fund. Cruz manages the fun

d’s assets, and the other co-founder, Brian Burkeman, CFA, is responsible for fund sales and marketing. Cruz notices the most recent sales material used by Burkeman indicates assets under management are listed at a higher value than the current market value. Burkeman justifies the discrepancy by stating recent market declines account for the difference. In order to comply with the CFA Institute Standards of Professional Conduct, Cruz should least likely take which of the following actions?

A. Correct the asset information and provide updates to prospective clients.

B. Report the discrepancy to CFA Institute’s Professional Conduct Program.

C. Provide a disclaimer within marketing material indicating prices are as of a specific date.

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第2题

Twenty students take an exam. The percentages of questions they answer correctly are

ranked from lowest to highest as follows:

In a frequency distribution from 30% to 90% that is divided into six equal-sized intervals, the absolute frequency of the sixth interval is:

A) 2.

B) 4.

C) 1.

D) 3.

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第3题

Joe Mayer, CFA, projects that XYZ Company's return on equity varies with the state

of the economy in thefollowing way:

The standard deviation of XYZ's expected return on equity is closest to:

A) 3.5%.

B) 12.3%.

C) 1.3%.

D) 1.5%.

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第4题

Trina Romel, mutual fund manager, is taking over a poor-performing fund from a colleague

. Romel wants to calculate the return on the portfolio. Over the last five years, the fund’s annual percentage returns were: 25, 15, 12, -8, and –14. Determine if the geometric return of the fund will be less than or greater than the arithmetic return and calculate the fund’s geometric return:

Geometric Return Geometric compared to Arithmetic

A) 4.96% greater than

B) 12.86% greater than

C) 12.86% less than

D) 4.96% less than

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第5题

A researcher is testing the hypothesis that a population mean is equal to zero. From a s

ample with 64 observations, the researcher calculates a sample mean of -2.5 and a sample standard deviation of 8.0. At which levels of significance should the researcher reject the hypothesis?

1% significance 5% significance 10% significance

A) Reject Fail to reject Fail to reject

B) Fail to reject Fail to reject Reject

C) Reject Reject Reject

D) Fail to reject Reject Reject

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第6题

Mei Tekei just celebrated her 22nd birthday. When she is 27, she will receive a $100,000

inheritance. Tekei needs funds for the down payment on a co-op in Manhattan and has found a bank that will give her the present value of her inheritance amount, assuming an 8.0% stated annual interest rate with continuous compounding. Will the proceeds from the bank be sufficient to cover her down payment of $65,000?

A) Yes, Tekei will receive $68,058.

B) No, Tekei will only receive $49,182.

C) No, Tekei will only receive $61,878.

D) Yes, Tekei will receive $67,028.

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第7题

Bond A is now trading at 97.384 with 8 years to maturity and a YTM of 5.38% and duratio

n of 6.45, its price value of a basis point (PVBP) isclosest to:

A. 0.0524

B. 0.0628

C. 0.0779

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第8题

Which of the following is an advantage of the full value approach to measuring the inte

rest rate risk of a bond portfolio relative to the duration/convexity approach?

A. less time consuming.

B. easier to model.

C. more accurate.

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第9题

Which of the following is a shortcoming of the full value approach to measuring the int

erest rate risk of a bond portfolio, compared to the duration/convexity approach?

A. It ignores the impact of embedded options.

B. It is relatively time consuming.

C. It cannot be used for stress testing.

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第10题

Lei Lee makes the following statement about putable bonds: As yields rise, the price of

putable bonds will fall more quickly than comparable option-free bonds (beyond a critical point) due to the decline in value of the embedded put option. Meimei Han adds that as yields fall, the price of putable bonds will climb more quickly than comparable option-free bonds (beyond a critical point) due to the increase in value of the embedded put option. Are their statements about putable bonds correct?

A. Neither statement is correct.

B. Both statements are correct.

C. Only one of the statements is correct.

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