更多"Samuel Peter, CFA, manages investme"的相关试题:
[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]Roy, CFA, manages several pension accounts and directs most of his trades through the Wales Investment Limited. Roy does this because he believes that he gets good executions and Wales Investment Limited provides him with excellent research reports used in the management of these accounts. Regional, a small discount brokerage house, has just approached Roy that it will execute his trades at half the cost of Wales. Regional does not have a research department. According to AIMR Standards of Professional Conduct, if Wales does NOT switch his business to Regional, has he violated the loyalty clause in his fiduciary duties（）
A. No, because he already had an established relationship with Wales before Regional’s offer.
B. No, if he can determine, in good faith, that the higher commissions are commensurate with the value of the research services he receives and discloses this practice.
C. Yes, because of the prudent expert clause.
[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]When Peter Jiang, CFA, joined Brown Investing, Brown began using a quantitative stock selection model that Peter had developed on his own personal time prior to his employment with Brown. One year later when Peter left the firm, he found the original copy of the model that he had developed in a file at his home and presented it to his new employer, who immediately began using the model. According to the Standards of Practice Handbook, did Peter violate any CFA Institute Standards of professional Conduct（）
A. No.
B. Yes, because he failed to act in Brown’s best interest.
C. Yes, because he misappropriated property that now belonged to Brown.
[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]Theresa Green, CFA, manages the portfolio of Ian Knowlden, a client of Tisbury Investments. Green knows that Knowlden is preparing to sell a large position in the Franklin Industries, a relatively small inactively-traded stock listing in a local exchange. Green places a sell order for Franklin Industries in his own account before the Knowlden's order is placed. Green has most likely violated the Standard(s) of Professional Conduct relating to:（）
A. only material non-public information.
B. only priority of transactions.
C. both material nonpublic informationand priority of transactions.
[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]Wilson:Hello,may I speak to Peter
Peter:（）
A. Sorry, the number is engaged. Will you hold
B. Yes, speaking.
C. Hello,who're you,please
D. Hello, thank you for callin
[单项选择]What does Peter mean
A. He means his mother is better.
B. He thinks his mother is very well.
C. He thinks his mother is very ill.
[单项选择]What does Peter order
A. Chicken.
B. Steak.
C. Fis
[单项选择]Who’s Peter
A. He’s the woman’s son.
B. He’s the man’s son.
C. He’s the woman’s student.
[单项选择]The three poets William Wordsworth, Samuel Taylor Coleridge and Robert Southey once lived in the English Lake District, and became known as the "______."
A. University Wits
B. Metaphysical Poets
C. Lake Poets
D. Lost Generation
[简答题]Jim和Peter合租房子的问题
Peter说希望Jim 1st June搬进
