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发布时间:2023-10-22 03:12:58

[单项选择]There’s a Hatcher, CFA, is making arrangements to establish her own investment advisory business before terminating her relationship with her current employer, Elite Brokers, Inc. Elite is a small company consisting of only six investment professionals and a small support staff. According to CFA Institute Standards of Professional Conduct, which of the following activities is least likely a violation of Hatcher’s duty to Elite()
A. Hatcher solicits Elite’s clients before her termination of employment at Elite. 
B. Hatcher takes home copies of Elite’s client lists and marketing presentations. 
C. Hatcher leases office space, furniture, and other equipment for her new business.

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[多项选择]Making travel arrangements 旅行安排
[填空题]The aims of social arrangements in an industrial society directed by bureaucratic management are ______.


[单项选择]Paul Salyer, CFA and portfolio manager is making a presentation to a prospective client. Paul says that as a new portfolio manager, he made an average annual rate of return of 50 percent in the last two years at his previous firm and that based on this, he can guarantee a 50 percent return to the client. Which of the following statements is in accordance with the Standard Ⅲ (D), Performance Presentation()
A. Implying that he can guarantee a return.
B. Imputing his past performance to future performance.
C. Stating his past performance as long as it is fact.
[单项选择]Women can be a powerful force, capable of making smitten men do all sorts of things, including adjust the way they talk to more closely match a woman’s speech patterns.
Conversation partners aligning the way they speak is often thought to indicate affiliation between two people. Have a chat with someone who curses liberally, for example, and the likelihood is good that you’ll drop a swear word too. While matching linguistic styles is a documented phenomenon, what’s particularly interesting is that new research shows that higher levels of female fertility are linked to lower levels of linguistic matching from male conversation partners.
According to a study published last month in the journal PLoS ONE, researchers interpret this to mean that men are trying to distinguish themselves in the mating process by being unconventional. What’s more, they don’t seem to even realize they’re doing it.
Jacqueline Coyle, an adjunct professor of human factors and systems at Embry-Riddle
A. use the language that his conversation partner uses
B. try to show affection through language
C. adjust the way they talk to be more like the person he talks with
D. use the same pattern of conversation as his conversation partner
[简答题]Expressing arrangements 陈述约定


[单项选择]A CFA charterholder is asked to review her firm’s soft dollar practices. As part of the review, she notes that her firm has failed to disclose the practices to the firm’s clients in writing as required by law. She does not report the firm’s violation to the appropriate regulatory authority, has the charterholder violated any CFA Institute Standards of Professional Conduct()
A. No.
B. Yes, because she failed to act in the best interest of her employer.
C. Yes, because she is required to report legal violations to the appropriate authority.
[单项选择]A CFA Institute member is a U. S. citizen living and working in a foreign country. That country has no laws against insider trading. Based on this information, the CFA Institute member may:()
A. not trade using insider information based upon the CFA Institute Standards.
B. not trade using insider information based upon the rules of the SEC.
C. trade using insider information as long as it is not with a client with laws against insider trading.
[填空题]
Logistical Operating Arrangements

The potential for logistical services to favorably impact customers is directly related to operating system design. The many different facets of logistical performance requirements make operational design a complex task, as an operating structure must offer a balance of performance, cost, and flexibility. (9) ,it is astonishing that any structural similarity exists. But keep in mind that all logistical arrangements have two common characteristics. First, they are designed to manage inventory. Second, the range of logistics alternatives is limited by available technology. (10) Three widely utilized structures are echelon, direct, and combined.
Echelon systems utilize warehouses to create inventory assortments and achieve consolidation economies associated with large-volume transportation shipments. Inventories positioned in warehouses are available for rapid deployment to meet custom

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