CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx

上传人:p** 文档编号:632093 上传时间:2023-12-15 格式:DOCX 页数:23 大小:72.76KB
下载 相关 举报
CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx_第1页
第1页 / 共23页
CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx_第2页
第2页 / 共23页
CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx_第3页
第3页 / 共23页
CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx_第4页
第4页 / 共23页
CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx_第5页
第5页 / 共23页
CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx_第6页
第6页 / 共23页
CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx_第7页
第7页 / 共23页
CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx_第8页
第8页 / 共23页
CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx_第9页
第9页 / 共23页
CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx_第10页
第10页 / 共23页
亲,该文档总共23页,到这儿已超出免费预览范围,如果喜欢就下载吧!
资源描述

《CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx》由会员分享,可在线阅读,更多相关《CFA一级历年模拟考试(2015-2019):2018_Level_I_Mock_Exam_PM-Session_removed.docx(23页珍藏版)》请在第壹文秘上搜索。

1、2018LevelIMockExamPMTheafternoonsessionofthe2018Level1CharteredFinancialAnalystMockExaminationhas120questions.Tobestsimulatetheexamdayexperience,candidatesareadvisedtoallocateanaverageofoneandahalfminutesperquestionforatotalof180minutes(3hours)forthissessionoftheexam.QuestionsTopicMinutes1-18Ethical

2、andProfessionalStandards2719-33Quant22634-45Econ1846-69FinancialReportingandAnalysis3670-78CorporateFinance13.579-86PortfolioManagement1287-98Equity1899-110FixedIncome181U-115Derivatives7.5116-120AlternativeInvestments7.5TotaL:180Byaccessingthismockexam,youagreetothefblloingtermsofuse:IhiSmcxrkexami

3、sproridedtocurrentlyregisteredCFAcandidates.CandidatesmayviewandprinttheexamforpersonalexampreparationOnly.befollowingactivitiesarestrictlyprohibitedandmayresultindisciplinaryand/orlegalaction:accessingorpermittingaccessbyanyoneotherthancurrently-registeredCFAcandidates;copying,postingtoanywebsite,e

4、mailingrdistributingand/orreprintingthemockexamforanypurpose2017CFAInstitute.Allrightsreserved.2018Levelimockexampm1WhichofthefollowingisleastlikelyarequirementoftheGIPSstandards?Firmsarerequiredto:Ahavetheirperformancerecordsverifiedbyanindependentthirdparty.Bincludealldiscretionary,fee-payingportf

5、oliosinatleastonecomposite.CpresentaminimumoffiveyearsofannualinvestmentperformancecompliantwithGIPSstandards.2IncaseswhereapplicablelocallawsgoverningcalculationandpresentationofinvestmentperformanceconflictwiththeGIPSstandards,firmsare:AunabletoclaimGIPScomplianceincaseswherelocalregulationsprohib

6、itaccuratecalculation.BrequiredtocalculateandmaintaintwosetsofperformancedatainordertoclaimGIPScompliance.CrequiredtocomplywithlocalregulationsandmakefulldiscloseoftheconflicttoclaimGlPScompliance.3VishalChandarana,anunemployedresearchanalyst,recentlyregisteredfortheCFALevelIexam.Aftertwomonthsofint

7、enseinterviewing,heacceptsajobwithastockbrokeragecompanyinadifferentregionofthecountty.ChandaranapostsonasocialmediabloghowbeingaCFAcandidatereallyhelpedhimgetajob.Healsonoteshowrelievedhewaswhenhisnewemployerdidn,taskhimaboutbeingfiredfromhisformeremployer.WhichCFAInstituteCodeofEthicsorStandardsof

8、ProfessionalConductdidChandaranaleastlikelyviolate?AMisconductBLoyaltytoEmployers(ReferencetotheCFAProgramIMirandaGrafton,CFA,purchasedalargeblockofstockatvaryingpricesduringthetradingsession,11estockrealizedasignificantgaininvaluebeforethecloseofthetradingday,soGraftonreviewedherpurchasepricestodet

9、erminewhatpricesshouldbeassignedtoeachspecificaccount.AccordingtotheStandardsofPracticeHandbOok,Graftonsleastappropriateactionistoallocatetheexecutionprices:Aacrosstheparticipatingclientaccountsatthesameexecutionprice.Bacrosstheparticipatingclientaccountsprorataonthebasisofaccountsize.Conafirst-in,f

10、irst-outbasiswithconsiderationofbundlingordersforefficiency.5LawrenceHall,CFA,andNancyBishop,CFA,beganajointresearchreportonStamperCorporation.BishopvisitedStamper,scorporateheadquartersforseveraldaysandmetwithallcompanyofficers.Priortothecompletionofthereport,Bishopwasreassignedtoanotherproject.Hal

11、lutilizedhisandBishopsresearchtowritethereportbutdidnotincludeBishop,snameonthereportbecausehedidnotagreewithandchangedBishopsconclusionincludedinthefinalreport.AccordingtotheCFAInstituteStanda*dsCfPracticeHandbook,didHallmostlikelyviolateanyCFAInstituteStandardsofProfessionalConduct?ANdBYes,withres

12、pecttomisrepresentation.CYes,withrespecttodiligenceandreasonablebasis.6RebeccaWongisenrolledtotaketheLevelICFAexamination.HerfriendWilliamLeungpurchasedLevelIstudymaterialsfromawelkknownCFAreviewprogramthepreviousyear.LeungmadeaphotocopyofthepreviousyearscopyrightedmaterialsandsoldittoWongtohelphers

13、tudy.WhomostlikelyviolatedtheCFAInstituteCodeofEthicsoranyStandardsofProfessionalConduct?ABothviolated.BNeitherviolated.(OnlyLeungviolated.7WhichofthefollowinggroupsismostlikelyresponsibleformaintainingoversightandresponsibilityfortheProfessionalConductProgram(PCP)?ACFAInstituteBoardofGovernorsBDisc

14、iplinaryReviewCommittee(ProfessionalConductDivision8Whencanaparty,nonmemberorfirm,mostlikelyclaimcompliancewiththeCFAInstituteCodeofEthicsandStandardsofProfessionalConduct?Oncetheyhave:AensuredthattheircodeandethicsmeetstheprinciplesoftheCodeandStandards.BnotifiedtheCFAInstituteoftheirclaim.(verifie

15、dtheirclaimofcompliancewiththeCFAInstitute.9Jean-LucSchlumberger,CFA,isanindependentresearchanalystprovidingequityresearchoncompanieslistedonexchangesinemergingmarkets.HeoftenincorporatesstatisticaldataheobtainsfromthewebsitesoftheWorldBankandthecentralbanksofvariouscountriesintothebodyOfhisresearch

16、reports.Whilenotindicatedwithinthereports,wheneverhisclientsaskwherehegetshisinformationheinformsthemtheinformationisinthepublicdomainbuthedoesntkeephisownrecords.Whentheclientsaskforthespecificwebsiteaddressesheprovidestheinformation.WhichStandardhasSchlumbergerleastEkelyviolated?ARecordRetentionBMisrepresentation(PerformancePresen

展开阅读全文
相关资源
猜你喜欢
相关搜索

当前位置:首页 > 资格/认证考试 > 证券从业资格考试

copyright@ 2008-2023 1wenmi网站版权所有

经营许可证编号:宁ICP备2022001189号-1

本站为文档C2C交易模式,即用户上传的文档直接被用户下载,本站只是中间服务平台,本站所有文档下载所得的收益归上传人(含作者)所有。第壹文秘仅提供信息存储空间,仅对用户上传内容的表现方式做保护处理,对上载内容本身不做任何修改或编辑。若文档所含内容侵犯了您的版权或隐私,请立即通知第壹文秘网,我们立即给予删除!