CFA Level1经典模拟试题1200道Word格式.docx

CFA Level1经典模拟试题1200道Word格式.docx

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A

onheryearsofexperienceasananalystinthebusinessthataninvestmentlooks

likeithaslotsofpotential

BAllofthese

Aninvestmentmanagerrecommendstoaprospectiveclientaninvestmentin

CmortgageIOstripsbecausetheyareguaranteedbyanagencyofthefederal

government

AbrokersaysXYZstockis100guaranteedtodoubleinvalueoverthenextsix

D

months

Question2-28161

AccordingtoAIMRsStandardsofProfessionalConductStandardIBFundamental

Responsibilitiesmembersshallnotknowinglyparticipateorassistinlegalandethical

violationsAnanalyst

mustreportalllegalviolationstotheproperregulatorycommissionandisheld

Aresponsibleforparticipatinginillegalactswhenthelawisevidenttoanyone

knowingthelaw

isheldresponsibleforviolationsbyotherswhentheanalystisunawareofthefacts

B

givingrisetotheviolation

isheldresponsibleforparticipatinginillegalactswhenthelawisevidenttoanyone

Cknowingthelawandcanparticipateinaviolationbyhavingknowledgeofthe

violationandtakingnoactiontostopitordisassociatefromit

Dknowingthelawandisheldresponsibleforviolationsbyotherswhentheanalystis

unawareofthefactsgivingrisetotheviolation

Question3-28162

WhichofthefollowingisaviolationbasedonAIMRsStandardsofProfessionalConduct

AportfoliomanageracceptsfreetradesfromXYZforherpersonalaccountfor

directingtheportfoliostradestoXYZShedoesnotinformhermanagersince

thereisnocashinvolved

Afterinforminghismanageraportfoliomanageracceptsmoneyforgivingabroker

informationrelatingtoaclientsfinancialstanding

AportfoliomanagerisofferedafreevacationtoincreaseperformanceAttheend

Coftheyearperformanceisupandthemanageracceptsthevacationafterinforming

hismanagerofthefact

Aportfoliomanagerisunexpectedlyofferedavacationatyear-endfromaclient

DwhowaspleasedwiththeirportfoliosperformanceThemanageracceptsthe

vacationafterinforminghermanagerofthefact

Question4-28165

BmortgageIOstripsbecausetheyareguaranteedbyanagencyofthefederal

C

DAllofthese

Question5-28167

NOT

WhichoneofthefollowingisNNOOTTconsistentwithAIMRsPerformancePresentation

Standards

ACashandcashequivalentsmustbeincludedincompositereturns

Allactualfeepayingdiscretionaryportfoliosshouldbeincludedinatleastone

composite

Investmentperformanceistherecordofthemanagernotthefirmallchangesin

Cpersonnelshouldbeaccountedforbyadjustingthecompositesperformance

history

Presentationofperformancemaybeeithergrossornetofinvestmentmanagement

feesaslongasthemethodandthefeeschedulearedisclosed

Question6-28168

UndertheEmployeeRetirementIncomeSecurityActERISAapersonisafiduciaryifheor

she

hasdiscretionaryauthorityintheadministrationofthepensionplanrenders

investmentadviceforafeewithrespecttoapensionplansassetsexercisesany

discretionaryauthoritywiththemanagementofthepensionplanoritsassets

Bhasanexecutivepositioninthefirmsponsoringthepensionplan

hasanexecutivepositioninthefirmsponsoringthepensionplanhasdiscretionary

authorityintheadministrationofthepensionplan

exercisesanydiscretionaryauthoritywiththemanagementofthepensionplanor

itsassets

Question7-29219

TherearefourcomponentsoftheAIMRCodeofEthicsAllofthefollowingarepartofthe

EXCEPT

CodeofEthicsEEXXCCEEPPTT

Practiceandencourageotherstopracticeinaprofessionalandethicalmannerthat

willreflectcreditonmembersandtheirprofession

Strivetomaintainandimprovethecompetenceofregulatorybodiessuchasthe

SecuritiesandExchangeCommissionSEC

CStrivetomaintainandimprovethecompetenceofothersintheprofession

DUsereasonablecareandexerciseindependentprofessionaljudgment

Question8-29220

AIMRbelieves

thataimumlevelofprofessionalresponsibilityandconductdictatesthat

Amembersbeawareofandcomplywithlawsrulesandregulationsgoverningtheir

conduct

companiesshouldsetstandardsbasedontheethicsofuppermanagementand

theboardofdirectors

thatfirmsshouldcomplywithalldomesticlawsandregulationsandthattheselaws

Calsogovernbehaviorinforeignmarketsregardlessofforeignlawsand

requirements

thataminimumlevelofprofessionalresponsibilityandconductdictatesthat

Dmembersbeawareofandcomplywithlawsrulesandregulationsgoverningtheir

Question9-29221

TRUE

WhichofthefollowingstatementsabouttheAIMRCodeandStandardsisTTRRUUEETheCode

andStandards

requirethatmembersreportlegalviolationstotheappropriategovernmentalor

regulatoryorganization

donotrequirethatmembersreportlegalviolationstotheappropriategovernmental

orregulatoryorganization

expectmemberstoresignfromtheirjobstodisassociatethemselvesfromclients

engaginginillegalactivities

Dexpectmemberstopersuadetheperpetratortoceaseillegalactivities

Question10-29222

AllofthefollowingareappropriateusesoftheCFAdesignationEEXXCCEEPPTT

AJeremySalyersCFA

BJoanneSilbourneisaCFAcharterholder

IasaCFAcharterholderexpecttooutperformthemarketbecauseCFA

CcharterholdershaveonaverageoutperformedtheSPin95percentofthelast50

years

IhaveearnedtheCFAdesignationbypassingthreeexamshavingsufficientwork

experienceandbecomingamemberofAIMR

Question11-29223

WhichofthefollowingwouldNNOOTTviolateAIMR畳srulesregardingpersonalintegrityand

behavior

AdrivingundertheinfluenceDUIconvictionthatresultsinthelossofones

driverslicenseforsixmonths

BStealingacarandgoingtoprisonfor18months

Amisdemeanorconvictionthatresultsfromlyingaboutyourincomeonyourtax

return

DCheatingonanMBApreliminaryexamandbeingexpelledfromtheUniversity

Question12-29224

Whenmustananalystgivecredittothefirm抯ownresearchstaffforresearchanalysis

AWhensendingprintedmaterialstoclients

BWhendiscussingresearchwithaclient

CInaprofessionalwitnesssituation

DIninter-officecommunications

Question13-29225

AnAIMRmemberisNNOOTTrequiredtonotifyhersupervisorinwritingoftheAIMRCodeand

Standardsunderwhichofthefollowingcircumstances

TheemployerhasindicatedawillingnesstoadoptAIMRsCodeandStandards

andthesupervisorisanAIMRmember

Theemployerhasahighethicalstandardmuchofwhichisreflectedinwritingin

thefirmsMissionStatement

CThesupervisorisanAIMRmember

Theemployerhaspubliclyacknowledgedinwritingthattheyhaveadoptedthe

AIMRCodeandStandards

Question14-29226

WhenanAIMRmemberwhoispresentlyemployedbyafirmundertakesanyindependent

practicehemustdoallofthefollowingEEXXCCEEPPTT

Asecurewrittenpermissionfromtheemployer

remandapercentagetobedeterminedbytheemployeeandemployerofthe

incomeearnedbacktotheemployer

Csecurewrittenpermissionfromtheoutsidefirm

disclosetheidentityoftheiremployertoclientsandprospectiveclientsandthefact

thattheyareperformingindependentlyoftheemployer

Question15-29227

FALSE

WhichofthefollowingstatementsregardingemployeeemployerrelationshipsisFFAALLSSEE

AAwrittencontractmayormaynotexistbetweenemployerandemployee

Theemployerhasthepowertocontrolanddirectthedetailsofhowworkistobe

performed

Theremustbemonetarycompensationforanemployeremployeerelationshipto

exist

DAnemployeeissomeoneintheserviceofanother

Ques