更多"Theresa Green, CFA, manages the por"的相关试题:
[单项选择]Samuel Peter, CFA, manages investment portfolios for high-net-worth individuals. Peter differentiates client service levels by portfolio size and management fee, and he trades more actively in his largest portfolios to make sure that those clients who pay the most management fees get priority and better performance. He fully discloses this arrangement to all of his clients. Has Peter most likely violated the Standards of Professional Conduct（）
A. No.
B. Yes, relating to fair dealing.
C. Yes, relating to communication with clients and prospective clients.
[单项选择]Wu Yang, CFA, manages individual portfolios for Far East Trust Company. Hu Haiyun, a client, proposes to Wu Yang, "Any year my portfolio achieves at least a 20 percent return before taxes, you and your family can fly to Sanya in Hainan Province in China at my expense and use my condominium during the Spring Festival in February. " While Wu Yang does not inform his employer of the arrangement, he watches Hu Haiyun's portfolio performance intensively throughout the year and makes sure her account gets top priority for any partially executed block trade order. Hu Haiyun's portfolio return exceeds the 20 percent target for the year, and Wu Yang vacations in Sanya during the following February as Hu Haiyun's guest. According to the Standards of Professional Conduct, Wu Yang has least likely violated the CFA Institute Standards relating to:
A. fair dealing.
B. disclosure of conflicts.
C. priority of transactions.
[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]Vida Knauss, CFA, manages the portfolios of a number of high-net-worth individuals. Which of the following most likely violates the Standards of Professional Conduct relating to suitability when :（）
A. Knauss evaluates the investment in the context of the individual characteristics of the investment alone.
B. Knauss evaluates whether the investment is suitable for the client's investment policy statement.
C. Knauss evaluates the investment in the context of the client's total portfolio of investments.
[单项选择]Evelyn Mastakis, CFA, manages a portfolio with $2000000 for a high-networth client. The client needs to withdraw $100000 for a charity in one year without invading principal. Mastakis gathers the following information about three possible allocations of assets.
| Allocation 1 | Allocation 2 | Allocation 3 |
| Expected annual return | 13% | 8% | 26% |
| Standard deviation of retums | 9% | 4.5% | 14% |
According to Roy's safety-first criterion, which of the following allocations Mastakis should choose（）
A. Allocation 1.
B. Allocation 2.
C. Allocation 3.
[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
[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.
[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
[单项选择]
A
Ian Johnstone missed his girlfriend so much that he flew back to Britain from Australia to ask her to marry him. The problem is she did the same in the opposite direction. He and Amy Dolby even managed to miss each other when they sat in the same airport waiting room in Singapore at the same time to wait for connecting flights.
After an 11,000-mile flight across the globe, Dolby was greeted by Johnstone’s astonished flatmate asking what she was doing there. "It was as though someone was playing a cruel joke on us," she told The Times.
"He is the most romantic(浪漫的)person I have ever known. I think our problem is that we are both quite impulsive(易冲动的)people. We are always trying to surprise each other. "
Johnstone, a 27-year-old construction worker, had taken a year off to travel round Australia. But he was missing Dolby, a 26-year-old secretary, so much that he got a job on a Sydney building s
A. Both are from Britain.
B. Both are from Australia.
C. Johnstone’s from Britain, Dolby Australia.
D. Johnstone’s from Australia, Dolby Britain.
[多项选择]
The leaf,greyish green to brown green,thin fragile leaflets,lanceolate,mucronate,asymmetrical at the base.该叶的特征包括下列哪几项:（）
A. 灰绿至棕绿色小叶
B. 叶片薄而易碎
C. 披针形叶
D. 卵圆形叶
E. 叶基不对称
[单项选择]Like Nathaniel Hawthorne, ______ also manages to achieve the effect of ambiguity through symbolism and allegory in his narratives.
A. Mark Twain
B. Henry James
C. R. W. Emerson
D. Herman Melville
[单项选择]The CFA Institute Professional Conduct Program is covered by the CFA Institute Bylaws and the Rules of Procedure for Proceedings related to Professional Conduct Program. The program is based on the principles of fair process to the:（）
A. member's clients and confidentiality of sanctions.
B. member and confidentiality of sanctions.
C. member and confidentiality of proceedings.
