更多"Louis Perkowski, CFA, is an investm"的相关试题:
[单项选择]Caleb Smith, CFA, is an investment advisor and manages the portfolios of several high-net-worth individuals. To comply with the Standards of Professional Conduct relating to suitability, at the inception of the client relationship, Smith must :（）
A. gather client information including the client's financial circumstances, personal data that are relevant to investment decisions, attitudes towards risk, and objectives in investing.
B. invest in a manner consistent with the stated mandate.
C. consider the possibilities of rapidly changing investment environments and their likely impact on a client's holdings.
[单项选择]Alex Burl is an investment advisor at Helpful Investments, a local investment advisory firm. Helpful Investments requires its employees to invest in the same stocks which Helpful Investments recommends to its clients. Helpful Investments also has established strict procedures determining when trades can be executed in its employees' own portfolios to avoid any conflict of interests with its clients. This procedure is most likely in place to help Burl avoid violations of the Standards of Professional Conduct relating to:（）
A. only material non-public information.
B. only priority of transactions.
C. both independence and material non-public information.
[单项选择]Doroth Kelly, a investment advisor, enrolled to take the Level m CFA examination in 2004; however, he did not take the exam. When her employer asked her about her status in the CFA program, Kelly advised her employer that she was confident that she passed Level Ⅲ and would become the CFA charter holder soon. Did Kelly violate the CFA Institute’s Standards of Professional Conduct relating to professional misconduct and duty to employer, respectively Professional misconduct duty to employer（ ）
A. No No
B. No Yes
C. Yes No
[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]Kristen Chandler, CFA, is an investment consultant in the Tokyo office of Dalton Securities, a major global investment consultant firm. Chandler is preparing to leave Dalton Securities to join a competing company. There is no non-compete agreement between Chandler and Dalton Securities. According to the Professional Conduct Standards,Chandler may:（）
A. take a list of her own clients from Dalton Securities.
B. solicit clients of Dalton Securities after leaving but not take any record from Dalton Securities.
C. not contact clients of Dalton Securities for a period of 5 year after leaving.
[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%
[单项选择]Michael Papis, CFA, is a chief investment officer of Assess Capital Management and manages several high-net-worth individual clients. Papis is responsible for presenting annual composite performance report for his managed accounts to his clients and prospective clients. In evaluating which accounts to include, he analyzes each of his managed accounts quarterly and picks those that have outperformed the benchmark to include in the composite performance report. Papis has least likely violated the Standards of Professional Conduct relating to:（）
A. independence and objectivity.
B. misrepresentation.
C. performance presentation.
[单项选择]Michael Allen, CFA, works for an investment management company and manages portfolios for a variety of retail and institutional clients for his firm, including his wealthy uncle, all of whom pay a management fee for his services. Lawrence Brown, an analyst at a brokerage firm has recommended Allen a high yield hedge fund based on its historical performance. Allen purchases a large block of this hedge fund and allocates proportionately to all client portfolios, including his uncle's portfolio. Has Allen most likely violated the Standards of Professional Conduct（ ）
A. No.
B. Yes, relating to suitability.
C. Yes, relating to fair dealing.
[单项选择]Bob Wade, CFA, is the chief investment officer of his state's retirement fund in Smith Capital. One day, Wade receives a non-cash gift from Michael Papis who is a client of Wade. According to the Standards of Professional Conduct relating to independence and objectivity, which of the following statements is most accurate Wade must:（）
A. decline the gift from Papis.
B. disclose the gift to Smith Capital.
C. disclose the gift to both Smith Capital and other clients of Wade.
[单项选择]Tom Wayne, CFA, is the investment manager of the Franklin City Employee Pension Plan. Wayne is a volunteer of CFA Institute and helps write CFA examination questions. Introduction materials of Franklin state: "Tom Wayne holds the CFA designation and has been appointed to assist in writing CFA examination questions. The honor puts him in the top tier of CFA charter holders. " Has Wayne violated the Professional Conduct Standards（）
A. No.
B. Yes, relating to preservation of confidentiality.
C. Yes, relating to conduct as members and candidates in the CFA program.
[单项选择]Lynn Moody, CFA, is an investment officer at the Lester Trust Company. Moody also volunteers on a fund-raising committee for a local nonprofit organization with the purpose of environment protection. Moody sees the name of David Bradford, a former client of her company on the list of prospective new donors. Without disclosing that Bradford was a former client, Moody tells the committee that Bradford has donated generously to similar nonprofit organizations. Has Moody most likely violated the Standards of Professional Conduct
A. No.
B. Yes, relating to disclosure of conflicts.
C. Yes, relating to preservation of confidentiality.
[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
[填空题]American Jazz Musician Louis Armstrong
Armstrong was born in New Orleans. He was so poor during his childhood that sometimes (1) garbage cans for supper.
Ⅰ. The spirit of Armstrong’s world not (2) by:
1) the (3) of poverty and
2) the dangers of wild living.
Ⅱ. Armstrong’s life before 1920s:
1) Armstrong’s dancing for pennies and (4) for his supper with a strolling quartet of other kids.
2) Having his dreams like other American boys, regardless of his point of social (5) .
3) The places he played and the people he knew were sweet and (6) at one end of the spectrum and rough at the other.
4) Experiences, pomp, humor, erotic charisma, grief, majesty, the profoundly gruesome and monumentally spiritual came into his (7) .
Ⅲ. Armstrong’s life from 1920 on:
1) Armstrong would be angry if
[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.
[单项选择]According to CFA Institute of Professional Conduct (the Standards), which of the following is NOT a recommendation procedure for compliance with the Standards relating to fair dealing（）
A. Limit the number of people involved.
B. Maintain a list of clients and their holdings.
C. Prolong the time frame between decision and dissemination.
