更多"Kim Stone, CFA, works at trading de"的相关试题:
[单项选择]
Text 3
Kim says he came up with the idea five years ago while on a business trip to Japan, where he learned of a brand of socks that retained their freshness even after many days of unwashed wear and tear. Tiny sticks of sliver with germ-killing chemicals were woven into the fabric. When he got back to Seoul, Kim applied the principle to washing machines.
According to the Korea Testing & Research Industry, Samsung’s device kills 99.9% of germs. Kim says garments stay germ-free for up to a month after being laundered. The Ag+ Nano device went on sale in March 2003 and costs around $1,150; the revolutionary technology is also being used in Samsung’s refrigerators and air conditioners.
No wonder: consumers seem to a little sliver in their spin cycles. Since Samsung’s nano-armed products were first launched, they have brought in an estimated $779 million in revenue. Overall, nanotech has been one of science’s fastest-growing fields
A. Product development
B. Market investigation
C. Research designing
D. Sales promotion
[单项选择]Mary Kim, CFA, practices in the established country of Oldasia as well as in the emerging country of Newasia. By regulation, Oldasia prohibits licensed investment advisors from trading in securities ahead of their clients. Newasia has no laws or regulations in this area. Mary Kim may:（）
A. trade ahead of her clients in Newasia only.
B. trade simultaneously with her clients in Newasia only, as long as she has made full disclosure to her clients that she reserves the right to do this.
C. not trade ahead of her clients in either country.
[单项选择]He works （）
A. alone
B. lonely
C. lone
D. lonesome
[填空题]He works the hardest in the office．
He works ______ than others in the office．
[简答题]Object
Describe a person who works well in his/her job.
[单项选择]O'Neal works hard. He is often seen （ ） heavily before his teammates start.
A. sweated
B. to be sweated
C. sweating
D. being sweated
[单项选择]Michael Jackson, CFA, works for a Privately Offered Fund Company as a portfolio manager. The firm purchases investment research about IT industry from a third-party independent research institution which the firm determines has a sound research basis and continuous reliability. Jackson communicates information from the third-party research to his retail and institutional clients but does not disclose the source. Jackson has most likely violated the Standards of Professional Conduct relating to:（）
A. the Standards regarding disclosure of conflicts.
B. the Standards regarding misrepresentation.
C. the Standards regarding diligence and reasonable basis.
[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]Jill Marsh, CFA, works for Advisors where she manages a portfolio for a wealthy family. Marsh earns one percent of the portfolio’s value each year in the form of a commission from Advisors. The family just told her that any year the portfolio she manages earns more than a 10 percent return, the family will give her the use of the family’s vacation home for one week. Hirsh will comply with Standard Ⅳ (B), Additional Compensation Arrangements, if she:（）
A. does nothing with respect to this.
B. sends an e-mail to her supervisor about the vacation home.
C. delivers a typed memo to her supervisor about the vacation home the first time she uses it.
[单项选择]Jerry Srruth, CFA, works as a portfolio manager for a large investment management firm and manages investment portfolios for high-net-worth individual clients. Smith relies on high-quality investment research that is consistently sound from one of his favorite brokerage firms, Stafford Securities. In return Smith pays Stafford a higher than average commission. Additionally, Smith uses Cannan Securities, another brokerage firm for trade execution only for a particular client at that client's direction. Cannan Securities charges the highest commission of all of the brokerages Smith currently uses. Has Smith most likely violated the Standards of Professional Conduct（）
A. No.
B. Yes, by using Stafford Securities with higher than average commission.
C. Yes, by using Cannan Securities with the highest commission.
[单项选择]Dominic Morris, CFA, works for a small regional securities firm. According to the Standards of Professional Conduct relating to additional compensation arrangements, which of the following is most accurate（）
A. Morris must not accept compensation for work that competes with his firm's interests.
B. Morris must not accept compensation for work that competes with his firm's interests without written consent from his firm.
C. Morris must not accept compensation for work that competes with his firm's interests without written consent from all parties involved.
[单项选择]A. He didn’t sleep last night. B. He works so hard.
C. The meeting went on four hours. D. He kept talking at the meeting.
[单项选择]He thinks Kim Yuna is （）figure skater in the world
A. great
B. greater than
C. the greatest
[单项选择]He is ______ China Daily. In other words, he works China Daily.
A. with; for
B. for; on
C. in; at
D. at; on
