更多"Tom Wayne, CFA, is the investment m"的相关试题:
[单项选择]Tom Wayne, CFA, is the portfolio manager of the Franklin City Employees Pension Plan in Thompson Investments. He recently completed thorough research about a chemical company and decided that the company's stock is significantly overvalued. Wayne places a large sell order for the company's thinly traded stock. Thompson Investments' trading desk takes a whole week to process the order, pulling the stock price to a 26-week low and the trading volume to four times the historic average. Has Wayne most likely violated the Standards of Professional Conduct
A. No.
B. Yes, because he distorted the price-setting mechanism of financial instruments.
C. Yes, because heartificially affected the trading volume significantly.
[单项选择]Joe Robison, CFA is an investment manager with full responsibility for the Gemstone Corporation relationship. During the past 12 months Joe has used 75% of the client brokerage of Gemstone to execute the Company’s stock trades and to directly assist in the investment decision process of Gemstone: Joe has independently obtained best price and execution for all of Gemstone’s stock trades. The remaining 25% of the client brokerage has been used to purchase bookshelves and computer chairs for Joe’s investment firm’s library. Which of the following is the most accurate statement pertaining to Joe’s use of the above soft dollars （）
A. Joe has properly used Gemstone’s client brokerage since he obtained best price and execution for all of the stock trades.
B. The 75 % of the client brokerage used by Joe was in full compliance with the Soft Dollar standard. The remaining 25% use of Gemstone’s client brokerage should be disallowed since it did not directly assist Joe in the investment decision process of Gemstone.
C. Joe’s use of soft dollars for Gemstone was proper since the client brokerage is the property of the investment firm and can be allocated per the direction of the investment manager.
[单项选择]A portfolio manager is looking at an investment that has an expected annual return of 10% with a standard deviation of annual returns of 5%. Assuming the returns are approximately normally distributed, the probability that the return will exceed 20% in any given year is closest to:（）
A. 0.0%.
B. 4.56%.
C. 2.28%.
[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]第一篇Wayne Beno
Wayne Beno was a true outdoorsman.Fishing,boating,hunting,walking through the woods with his three dogs,Wayne loved and did it all.Then life changed dramatically.Wayne was diagnosed with Parkinson’s disease(帕金森氏病).
“For the next thirteen years I took 28 pills a day,had horrible side effects,and even with all those pills I still had lots of shaking and tremors(颤抖).I only went out during peak times,when I was looking and feeling my best.But that wasn’t often and I really couldn’t do much of anything.I felt like the life I loved was over,”said Wayne.
Then Wayne’s doctor in Green Bay suggested he consider a breakthrough surgical option being offered at Froedtert & the Medical College of Wisconsin called Deep Brain Stimulation(刺激)(DBS).DBS is a surgical option used to treat disabling movement disorders related to Parkinson’s disease,essential tremor and more.It is not a cure,but significant improvement is seen in most movement disorder cases,with relatively low ris
A. social activities.
B. outdoor activities.
C. productive activities.
D. quiet activities.
[单项选择]第三篇Wayne Beno
Wayne Beno was a true outdoorsman.Fishing,boating,hunting,walking through the woods with his three dogs,Wayne loved and did it all.Then life changed dramatically.Wayne was diagnosed with Parkinson’s disease(帕金森氏病).
“For the next thirteen years I took 28 pills a day,had horrible side effects,and even with all those pills I still had lots of shaking and tremors(颤抖).I only went out during peak times,when I was looking and feeling my best.But that wasn’t often and I really couldn’t do much of anything.I felt like the life I loved was over,”said Wayne.
Then Wayne’s doctor in Green Bay suggested he consider a breakthrough surgical option being offered at Froedtert & the Medical College of Wisconsin called Deep Brain Stimulation(刺激)(DBS).DBS is a surgical option used to treat disabling movement disorders related to Parkinson’s disease,essential tremor and more.It is not a cure,but significant improvement is seen in most movement disorder cases,with relatively low ris
A. social activities.
B. outdoor activities.
C. productive activities.
D. quiet activities.
[填空题]Their voices are so alike that I often _____ Tom for his brother Jim on the phone.
[单项选择]
第三篇
Wayne Beno
"Wayne Beno was a true outdoorsman. Fishing, boating, hunting, walking through the woods with his three dogs, Wayne loved and did it all. Then life changed dramatically. Wayne was diagnosed with Parkinson’s disease (帕金森氏病).
"For the next thirteen years I took 28 pills a day, had horrible side effects, and even with all those pills I still had lots of shaking and tremors(颤抖). I only went out during peak times, when I was looking and feeling my best. But that wasn’t often and I really couldn’t do much of anything. I felt like the fife I loved was over," said Wayne.
Then Wayne’s doctor in Green Bay suggested he consider a breakthrough surgical option being offered at Froedtert & the Medical College of Wisconsin called Deep Brain Stimulation (刺激) (DBS). DBS is a surgical option used to treat disabling movement disorders related to Parkinson’s disease, e
A. mental disorders
B. chronic diseases
C. permanent brain injuries
D. disabling movement disorders
