CFA一级历年模拟考试(2015-2019):2018 Level I Mock Exam AM-Session (with Solutions) _removed.docx

上传人:p** 文档编号:632097 上传时间:2023-12-15 格式:DOCX 页数:68 大小:424.85KB
下载 相关 举报
CFA一级历年模拟考试(2015-2019):2018 Level I Mock Exam AM-Session (with Solutions) _removed.docx_第1页
第1页 / 共68页
CFA一级历年模拟考试(2015-2019):2018 Level I Mock Exam AM-Session (with Solutions) _removed.docx_第2页
第2页 / 共68页
CFA一级历年模拟考试(2015-2019):2018 Level I Mock Exam AM-Session (with Solutions) _removed.docx_第3页
第3页 / 共68页
CFA一级历年模拟考试(2015-2019):2018 Level I Mock Exam AM-Session (with Solutions) _removed.docx_第4页
第4页 / 共68页
CFA一级历年模拟考试(2015-2019):2018 Level I Mock Exam AM-Session (with Solutions) _removed.docx_第5页
第5页 / 共68页
CFA一级历年模拟考试(2015-2019):2018 Level I Mock Exam AM-Session (with Solutions) _removed.docx_第6页
第6页 / 共68页
CFA一级历年模拟考试(2015-2019):2018 Level I Mock Exam AM-Session (with Solutions) _removed.docx_第7页
第7页 / 共68页
CFA一级历年模拟考试(2015-2019):2018 Level I Mock Exam AM-Session (with Solutions) _removed.docx_第8页
第8页 / 共68页
CFA一级历年模拟考试(2015-2019):2018 Level I Mock Exam AM-Session (with Solutions) _removed.docx_第9页
第9页 / 共68页
CFA一级历年模拟考试(2015-2019):2018 Level I Mock Exam AM-Session (with Solutions) _removed.docx_第10页
第10页 / 共68页
亲,该文档总共68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 AM-Session (with Solutions) _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 AM-Session (with Solutions) _removed.docx(68页珍藏版)》请在第壹文秘上搜索。

1、2018LevelIMockExamAMThemorningsessionofthe2018LevelICharteredFinancialAnalystMockExaminationhas120questions.Ibbestsimulatetheexamdayexperience,candidatesareadvisedtoallocateanaverageofoneandahalfminutesperquestionforatotalof180minutes(3hours)forthissessionoftheexam.QuestionsTopicMinutes1-1819-3334-4

2、546-6970-7879-8687-9899-lW111-115116-120EthicalandProfessionalStandards27Quant22.5Econ18FinancialReportingandAnalysis36CorporateFinance13.5PortfolioManagement12Equity18FixedIncome18Derivatives7.5AlternativeInvestmentsZ5Total:180Byaccessingthismockexam,youagreetothefollowingtermsofuse:IhiSmockexamisp

3、roridedtocurrentlyregisteredCFAcandidates.Candidatesmayviewandprinttheexamforpersonalexampreparationonly,efollowingactivitiesarestrictlyprohibitedandmayresultindisciplinaryand/orlegalaction:accessingorpermittingaccessbyanyoneotherthancurrently-registeredCFAcandidates;copying,postingtoanywebsite,emai

4、lingrdistributingand/orreprintingthemockexamforanypurpose2017CFAInstitute.Allrightsreserved.2018Levelimockexamam1AndrewSmith,CFA,worksforGranite,acommercialbankthatalsohasasizeablesellsideresearchdivision.Smithispresentingfinancingsolutionstoapotentialbusinessclient,DynamicMaterialsCorp.Aspartofhisp

5、resentation,SmithmentionsthatGranitewillinitiateresearchcoverageonDynamic.IsSmithsarrangementmostbkelyappropriatewithregardstotheCFAStandards?AYes.BNo,becauseSmithcannotoffertoprovideresearchcoverageonacompanyiftheybecomeacorporatefinanceclient.CNo,becauseGranitecannotprovideresearchcoverageonacorpo

6、ratefinanceclientasthisconstitutesaviolationofresearchindependence,-UAiscorrectbecauseunderStandardImembersandcandidatesmustprotecttheirindependenceandobjectivityAgreeingtoPn)Videobjectiveresearchcoverageofacompanydoesnotconstituteaiolationofthisstandaidprovidedtheanalystwritingthereportisfreetocome

7、upwiththeirownindependentconclusion.SmithcanagreetoprovideresearchcoveragebutcannotcommitGranitdsresearchdepartmenttoprovidingafavorablerecommendationBisincorrectbecauseprovidingresearchcoverageinthissituationdoesnotnsti-tulcaviolationoftheCodeandStandardsasInngastheindependenceofIhisresearchisnotco

8、mpromisedCisincorrectbecauseprovidingresearchcoverageinthissituationdoesnotnsti-tulcaviolationoftheCodeandStandardsasInngastheindependenceofIhisresearchisnotcompromisedGuidanceforStandardsI-VU1.OSbStandardI(E&-IndependenceandObjectivity2Duringanon-sitecompanyvisit,MarshaWard,CFA,accidentallyoverhear

9、dtheChiefExecutiveOfficer(CEO)ofStargazerrlnc.,discussingthecompanytenderoffertopurchaseDynamicaEnterprises,aretailerofStargazerproducts.AccordingtotheCFAInstituteStandardsofProfessionalConduct,Wardmost11kelycannotusetheinformationbecause:Aitrelatestoatenderoffer.Bitwasoverheardandmightbeconsideredu

10、nreliable.(shedoesnothaveareasonableandadequatebasisfortakinginvestmentaction.AiscorrectbecausetradingontheinformationisrestrictedasitrelatestoatenderdTkitisclearlymaterial,nonpublicinformationStandard11(八)1BisincorrectbecausetheinformationcouldbeconsideredtocomefromareliablesourcebecauseIfcomesfrom

11、seniormanagement,isnonpubliandshouldnotbeusedsinceitconcernsatenderffeCisincorrectbecausetheinfoationismatealandisnonpubliesothatitshouldnotbeusedasthebasisirtakinginvestmentaction.Thereissimplynotenoughinformationprovidedtodetermineifthe*eistreasonableandadequatebasisforinvestmentaction.Guidancefor

12、StandardsI-V111.OSaStandard11()-MaterialNonpubliciformation3WhichofthefollowingisnotincludedintheninemajorprovisionsoftheGlobalInvestmentPerformanceStandards(GlPS)?AInputData,CalculationMethodology,andRealEstateBFundamentalsofCompliance,CompositeConstruction,andDisclosure(CalculationMethodology,Comp

13、ositeConstruction,andAlternativeAssetsCiscorrectbecauseAlternativeAssetsisnotamongtheninemajorprovisionsorsectionsoftheGlObalInvestmentPerformanceStandardswhichinclude:FndamentalsdCompliancyInputDatCalculationMethodology,CompositeConstrucliorDisclosureP*esentationandReportinaRealEstatefivateEquityan

14、dWrapFee/SeparatelyManagedAccount(SM)PortfoliosAisincorrectbecausetheseareincludedintheninemajorprovisionsf,theGlPSBisincorrectbecausetheseareincludedintheninemajorprovisionsoftheGIPSGlobalInvestmentPerformanceStandards(GIPS)LOSd4WhichofthefollowingleastlikelyreflectsthetwoprimaryprinciplesoftheCFAI

15、nstituteRulesofProcedureforProceedingsRelatedtoProfessionalConduct?AConfidentialityofproceedingsBPublicdisclosureofdisciplinarysanctions(FairprocesstothememberandcandidateBisco11ectbecausethetwoprinciplesoftheRulesofRocedureforProceedingsRelatedtoProfessionalConductareconAdentialityofproceedingsandf

16、airprocesstothemem-berandcandidateAisincorrectbecausethetwoprinciplesoftheRulesofFYccedureforProceedingsRelatedtoProfessionalConductareconfidentialityofproceedingsandfairProCeSStothememberandcandidateCisincorrectbecausethetwoprinciplesoftheRulesofProcedureforP(eedingsRelatedtoProfessionalConductareconfidentialityofpro

展开阅读全文
相关资源
猜你喜欢
相关搜索

当前位置:首页 > 外语学习 > 英语学习

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!