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1、CFA Level1经典模拟试题1200道【一份十分经典的专业资料，打灯笼都找不到的好资料】8 Schweser Printable Tests - Level 1 - EXAM 1 Morning - 180 Schweser Printable Tests - Level 1 - EXAM 1 Morning - 180 SScchhwweesseerrPPrriinnttaabblleeTTeessttss-LLeevveell11-EEXXAAMM11MMoorrnniinngg-118800 minutes - Level 1 - EXAM 1 Morning minutes - L
2、evel 1 - EXAM 1 Morning mmiinnuutteess-LLeevveell11-EEXXAAMM11MMoorrnniinngg Youcanprint thispagebygoing tofile- printinyourinternetbrowser Ethics - 18 Questions - 27 minutes Ethics - 18 Questions - 27 minutes EEtthhiiccss-1188uueessttiioonnss-2277mmiinnuutteess Question1 - 23379 Based on AIMRs Stan
3、dards of Professional Conduct which of the following statements are a violation of Standard IV B6 Prohibition against Misrepresentation A young trainee bond trader tells a prospective client that she can assist the client in all the clients investment needs equity fixed income and derivatives and ba
4、sed A on her years of experience as an analyst in the business that an investment looks likeit has lots of potential B Allof these An investment manager recommends to a prospective client an investment in C mortgage IO strips because they are guaranteed by an agency of the federal government A broke
5、r says XYZ stock is 100 guaranteed to double in value over the next six D months Question2 - 28161 According to AIMRs Standards of Professional Conduct Standard I B Fundamental Responsibilities members shall not knowingly participate or assist in legal and ethical violations An analyst must report a
6、ll legal violations to the proper regulatory commission and is held A responsible for participating in illegal acts when the law is evident to anyone knowing the law is held responsible for violations by others when the analyst is unaware of the facts B giving rise to the violation is held responsib
7、le for participating in illegal acts when the law is evident to anyone C knowing the law and can participate in a violation by having knowledge of the violation and taking no action to stop it or disassociate from it is held responsible for participating in illegal acts when the law is evident to an
8、yone D knowing the law and is held responsible for violations by others when the analyst is unaware of the facts giving rise to the violation Question3 - 28162 Which of the following is a violation based on AIMRs Standards of Professional Conduct A portfolio manager accepts free trades from XYZ for
9、her personal account for A directing the portfolios trades to XYZ She does not inform her manager since there is no cashinvolved After informing his manager a portfolio manager accepts money for giving a broker B information relating toa clients financial standing A portfolio manager is offered a fr
10、ee vacation to increase performance At the end C of the year performance is up and the manager accepts the vacation after informing his manager of the fact A portfolio manager is unexpectedly offered a vacation at year-end from a client D who was pleased with their portfolios performance The manager
11、 accepts the vacation after informing her manager of the fact Question4 - 28165 Based on AIMRs Standards of Professional Conduct which of the following statements are a violation of Standard IV B6 Prohibition against Misrepresentation A young trainee bond trader tells a prospective client that she c
12、an assist the client in all the clients investment needs equity fixed income and derivatives and based A on her years of experience as an analyst in the business that an investment looks likeit has lots of potential An investment manager recommends to a prospective client an investment in B mortgage
13、 IO strips because they are guaranteed by an agency of the federal government A broker says XYZ stock is 100 guaranteed to double in value over the next six C months D Allof these Question5 - 28167 NOT NOT Which one of the following is NNOOTT consistent with AIMRs Performance Presentation Standards A Cash and cash equivalents must be included in composite returns All actu
