更多"Etienne Gagne, CFA, is an independe"的相关试题:
[单项选择]Neil Barton, CFA, and Nancy Roberts, CFA, began a joint research report on Stamp Corporation. Nancy spent several days visiting Stamp’s corporate headquarters and meeting with all company officers. Prior to the completion of the report, Nancy was reassigned to another project. Nell utilized his and Nancy’s research to write the report. According to the CFA Institute Standards of practice Handbook, did Nell violate any CFA Institute Standards of Professional Conduct（）
A. No.
B. Yes, with respect to misrepresentation.
C. Yes, with respect to independence and objectivity.
[单项选择]
Wesley Whitcomb, CFA, participated as a CFA examination grader in 2012. Prior to participating in grading CFA examinations, Whitcomb was required to sign a CFA Institute Grader Agreement drafted by CFA Institute stating that graders are not to reveal or discuss the exam materials with anyone except CFA Institute staff and other graders. Several weeks after the conclusion of the CFA exam grading, Whitcomb returns to his office and is having dinner with several colleagues some of who are the Level Ⅲ candidates in the CFA Program. One of the candidates mentions that he is very disappointed about his examination this time and afraid of failing for the exam because he unintentionally made a calculation mistake when answering the first essay question of investment policy statement. Whitcomb responds by telling the candidate that he was a grader for the 2012 examination and that it would be unfortunate if the candidate did give wrong answer to that question because most candidates scored
A. A
B. B
C. C
[多项选择]ANA检测阳性可见于
A. 混合性结缔组织病
B. 类风湿关节炎
C. 系统性红斑狼疮
D. 全身性硬皮病
E. 干燥综合征
[多项选择]获得CFA证书需要通过三级考试，其中，CFA一级要求( )。
A. 掌握财务分析
B. 掌握宏观/微观经济学
C. 掌握数理统计的基本理论
D. 运用所学到的金融理论，比较并推荐最合理的投资工具
[多项选择]获得CFA证书需要通过三级考试，其中，CFA一级要求掌握( )。
A. 财务分析
B. 宏渺微观经济学
C. 数理统计的基本理论
D. 运用所学到的金融理论，比较并推荐最合理的投资工具
[多项选择]关于ANA的叙述正确的是
A. 可见于正常人
B. ＞1:20即有诊断意义
C. 可见于SLE
D. 可见于慢性活动性肝炎
E. 其效价与病情活动程度不平行
[单项选择]CFA证书由CFA协会授予，其获得者须为直接参与投资决策过程的各类人员，并且还必须具备（）年相关工作经验。
A. 3
B. 5
C. 8
D. 10
[单项选择]在什么情况下会说 “hasta ma ana”
A. En el saludo.
B. En la presentación.
C. En el taxi.
D. En la despedida.
[单项选择]英译汉：“Certificate of fumigation; Certificate of analysis”，正确的翻译为：( )。
A. 熏蒸检验证书；分析检验证书
B. 消毒检验证书；分析检验证书
C. 消毒检验证书；残损鉴定证书
D. 熏蒸检验证书；残损鉴定证书
[单项选择]下列ANA荧光图形中对SLE诊断价值最大的是
A. 均质型
B. 斑点型
C. 核膜型
D. 核仁型
E. 以上均不对
[单项选择]SLE患者具有诊断意义的ANA滴度为
A. ＞1:50
B. ＞1:60
C. ＞1:70
D. ＞1:80
E. ＞1:90
[单项选择]Frank Adwood, CFA, is the chief compliance officer for Nills Investment Limited. Frank institutes a new policy requiring the pro rata distribution of new security issues to all discretionary accounts for which the new issues are appropriate. The policy does not provide for the distribution of new issues to non-discretionary accounts, but this is disclosed to all existing and potential clients. Did Frank most likely violate any CFA Institute Standards of Professional Conduct（）
A. No.
B. Yes, because the distribution policy fails to treat all discretionary accounts equally.
C. Yes, because disclosure of inequitable allocation methods does not fulfill the duty for fail and equitable trade allocation procedures.
[单项选择]Helen Hawke, CFA, does research about foreign exchange market. Hawke gathers the following information about currency spot rates:
| Spot Rate |
| CAD/USD | 0.9811 |
| EUR/USD | 1.2388 |
Note: CAD/USD exchange rate quote convention is CAD per USD.
CAD=Canadian dollar, USD=U. S. dollar, EUR=euro.
The cross-rate EUR/CAD is closest to:（）
A. 0.7920
B. 1.2154
C. 1.2627
[单项选择]Brendan Witt, CFA, does research about the Fisher effect. Which of the following statements is most accurate about the Fisher effect in the long term（）
A. Changes in the nominal interest rate are the result of changes in the real interest rate only.
B. Changes in the nominal interest rate are the result of changes in the expected rate of inflation only.
C. Changes in the nominal interest rate are the result of changes in both the real interest rate and the expected rate of inflation.
[单项选择]Evelyn Mastakis, CFA, is a quantitative analyst in a local securities firm and does research about the difference between ordinary annuity and annuitydue. If both have the same number of payments, payment amount, and frequency of payments and are discounted at the same positive rate, the present value of the ordinary annuity is:（）
A. greater than the present value of the annuity due.
B. less than the present value of the annuity due.
C. equal to the present value of the annuity due.
[单项选择]Peter Lynch, CFA, uses technical analyses for TNT Industry in his holdings. Lynch found that TNT Industry has experienced a series of white candles on a candlestick chart accompanied by sharply declining trading volume. It most likely indicates that:（）
A. TNT Industry's price increase is near an end.
B. The up trend of TNT Industry will last a relatively long time.
C. An increasing number of investors are selling TNT Industry at higher prices.
[单项选择]Jack Smith, CFA, manages the Heaven Foundation Portfolio and does research about yield calculation. Which of the following yields considers an annualized rate of return that accounts for the impact of interest on interest for different frequencies of compounding（）
A. Holding period yield.
B. Effective annual yield.
C. Money market yield.
[单项选择]Thomas Edison, CFA, is an investment consultant in the London office of Dalton Securities and forecasts next year's performance of securities market. According to Chebyshev's inequality, the minimum proportion of observations falling within ±3 standard deviations of the mean is closest to:（）
A. 50%
B. 89%
C. 94%
