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发布时间:2024-07-30 20:32:57

[单项选择]Victor Marginn, CFA, is a highly regarded portfolio manager for Atlantic Advisors(AA), a midsized mutual fund firm. He has watched the hedge fund boom and on numerous occasions pushed his firm to create such a fund. Senior management has refused to commit resources to the area. Frustrated by the inaction, and attracted by the higher fees associated with hedge funds, Victor and several other employees organize a hedge fund in the non-work hours. Victor is careful to work on the fund only on her own time. Because AA management thinks that hedge funds are a fad, he does not inform his supervisor about the hedge fund. According to the Standards of Practice Handbook, Victor least likely violated the Standard relating to:()
A. loyalty.
B. disclosure of conflicts.
C. priority of transactions.

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[单项选择]Victor Marginn, CFA, is a highly regarded portfolio manager for Atlantic Advisors (AA), a midsized mutual fund firm. He has watched the hedge fund boom and on numerous occasions pushed his firm to create such a fund. Senior management has refused to commit resources to the area. Frustrated by the inaction, and attracted by the higher fees associated with hedge funds, Victor and several other employees organize a hedge fund in the non-work hours. Victor is careful to work on the fund only on her own time. Because AA management thinks that hedge funds are a fad, he does not inform his supervisor about the hedge fund. According to the Standards of Practice Handbook, Victor least likely violated the Standard relating to:( )
A. loyalty.
B. disclosure of conflicts.
C. priority of transactions.
[单项选择]Monica Shore, CFA, is a highly regarded portfolio manager for Atlantic Investments (AI), a midsized mutual fund firm investing in domestic securities. She has watched the hedge fund boom and on numerous occasions suggested her firm create such a fund. Senior management has refused to commit resources to the area. Frustrated by the inaction, and attracted by the higher fees associated with hedge funds, Shore and several other employees use their spare time to create a hedge fund. Because AI management thinks that hedge funds are a fad, she does not inform her supervisor about the hedge fund. According to the Standards of Practice Book, Shore least likely violated the Standard relating to:()
A. Disclosure of Conflicts.
B. Priority of Transactions.
C. Additional Compensation Arrangements.
[填空题]Victor


[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.
[单项选择]

Passage 2

Highly intelligent and strong, elephants are the largest land animals and are among the longest-lived, with life spans of 60 years or more. Healthy, full-grown elephants have no natural enemies other than humans.
Elephants once lived on every continent except Australia and Antarctica, but elephants today are restricted to Africa and parts of Southeast Asia. They occupy a wide range of environments in Africa and Southeast Asia: grasslands, marshes, forests, deserts, and mountains. They need great quantities of food to support their massive size. They also need a lot of drinking water and so are restricted to areas with adequate water.
Throughout history, people have prized elephants for their great size and strength. On the battlefield, elephants have defeated the enemies. Elephants also have been t
A. highly intelligent and strong, elephants are the largest land animals
B. elephants are among the longest-lived, with life spans of 60 years or less
C. healthy, full-grown elephants have natural enemies rather than humans
D. human beings bring great harm to the elephants
[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. 宏观/微观经济学
C. 定量分析的基本理论
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]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.
[判断题]CFA协会是一家全球营利性专业机构,负责在全世界管理CFA(特许金融分析师)课程和考核项目,并为投资业制定专业行为操守和投资表现报告准则()
[单项选择]CFA证书由CFA协会授予,其获得者须为直接参与投资决策过程的各类人员,并且还必须具备()年相关工作经验。
A. 3 
B. 5 
C. 8 
D. 10
[单项选择]Victor remained modest ( ) his great success.
A. because of
B. because
C. even
D. despite
[单项选择]A CFA charterholder owns an asset management firm with offices downtown. To minimize rent expenses, each year the charterholder ships the previous year’s research report to a nearby warehouse. There, the reports are digitized and stored in both electronic and hard-copy forms. After five years, all paper copies are destroyed and only electronic copies are retained. Are the charterholder’s record-retention procedures in compliance with the CFA Institute Standards of Practice()
A. No.
B. Yes, because he is only required to retain hard copies for five years.
C. Yes, because he still retains electronic copies of the original documents.
[单项选择]International ocean shipping constitutes a highly significant aspect of world economic and political relationships. The rapid growth in world trade and the emergence of new national entities in the last 30 years have further emphasized the role of international shipping. Because of the generally free environment in which it has operated, the industry is highly mobile and flexible—characteristics that, together with technological progress, have facilitated the rapid growth in world trade.
In recent years, however, there have been several technological and institutional developments that are likely to have major efforts on the industry. One of the latter is the aggregation of conventions and practices known as the Law of the Sea, which has been discussed in the United Nations Conference on the Law of the Sea since 1958. The third UNCLOS began in 1974 and concluded when a treaty was issued on April 30, 1982. The treaty will enter in force when 60 nations have ratified it. How soon th
A. countries involved
B. climate shift
C. changes in the Law of Sea
D. industrial environment

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