CFA模拟试题LEVEL1

CFA模拟试题LEVEL1

Schweser Printable Tests - Level 1 - EXAM 1 Morning - 180 minutes - Level 1 - EXAM 1 Morning

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Ethics - 18 Questions - 27 minutes

Question: 1 - 23379

Based on AIMR's Standards of Professional Conduct, which of the following statements are a violation of Standard IV(B.6), Prohibition against Misrepresentation?

A young trainee bond trader tells a prospective client that she can assist the client in all the client's investment needs: equity, fixed income, and derivatives and based on her years of experience as an analyst in the business that an investment looks like it has lots of potential. All of these. B)

An investment manager recommends to a prospective client, an investment in mortgage IO strips because they are guaranteed by an agency of the federal C)

government.

A broker says XYZ stock is 100% guaranteed to double in value over the next six months.

Question: 2 - 28161

A)

D)

According to AIMR's 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 all legal violations to the proper regulatory commission and is held responsible for participating in illegal acts when the law is evident to anyone A)

knowing the law.

is held responsible for violations by others when the analyst is unaware of the facts giving rise to the violation.

is held responsible for participating in illegal acts when the law is evident to anyone knowing the law and can participate in a violation by having knowledge of the C)

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 anyone knowing the law and is held responsible for violations by others when the analyst is D)

unaware of the facts giving rise to the violation.

Question: 3 - 28162

B)

Which of the following is a violation based on AIMR's Standard's of Professional Conduct?

A)

A portfolio manager accepts free trades from XYZ for her personal account for directing the portfolio's trades to XYZ. She does not inform her manager since