CFA習(xí)題《職業(yè)道德》習(xí)題精煉：GIPS標(biāo)準(zhǔn)及道德規(guī)范組成部分

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來源: 正保會計網(wǎng)校編輯：某某 2020/09/08 09:58:19　字體：大小

最可怕的敵人，就是沒有堅持的信念。如果你覺得沒有成功，那說明你的堅持還不夠。正保會計網(wǎng)校為您提供CFA考試練習(xí)題，通過做題，能夠鞏固所學(xué)知識并靈活運用，考試時會更得心應(yīng)手。

CFA習(xí)題一：GIPS標(biāo)準(zhǔn)

In order to achieve compliance with GIPS Standards, it is recommended that firms:

A adopt the broadest, most meaningful definition of the firm.

B provide existing clients a compliant presentation applicable to their portfolio, at a minimum of a bi- annual basis.

C define the firm by including all geographical offices operating under the same firm name.

CFA習(xí)題二：CFA協(xié)會道德規(guī)范的組成部分

Which of the following is not a component of the CFA Institute Code of Ethics?

A Promote financial integrity and seek to prevent and punish abuses in the financial markets.

B Place the integrity of the investment profession and the interests of clients above their own personal interests.

C Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession.

查看答案解析【習(xí)題一】

【答案】

【習(xí)題一】A

【解析】

A is correct. The Fundamentals of Compliance recommend that firms should adopt the broadest, most meaningful definition of the firm.

B is incorrect, firms are recommended to provide each client, on an annual basis, a compliant presentation of the composite in which the client’s portfolio is included.

C is incorrect, the scope of the definition should include all geographical offices operating under the same brand name regardless of the actual name of the individual investment management company.

查看答案解析【習(xí)題二】

【答案】

【習(xí)題二】（A）

【解析】

A is correct. Punishing abuses in the financial sector is not included in any of the six components of the CFA Code of Ethics.

B is incorrect because placing the integrity of the investment profession and the interests of clients above their own personal interests is one of the six components of the Code of Ethics.

C is incorrect because practicing and encouraging others to practice in a professional and ethical manner that will reflect credit on themselves and the profession is one of the six components of the Code of Ethics.

成功=時間+方法，自制力是這個等式的保障。世上無天才，高手都是來自刻苦的練習(xí)。而人們往往只看到“牛人”閃耀的成績，忽視其成績背后無比寂寞的勤奮。小編相信，每天都在勤奮練習(xí)，即使是一點點的進步，大家一定可以成為人人稱贊的“牛人”。

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