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CFA職業(yè)倫理真題1：Lily, as a CFA candidate and an equity research analyst at an independent research firm, is contacted by Great Tech, Inc, to write an issuer-paid research report on the company to increase awareness of Great’s stock within the investment community. Which statement best represents how Lily should respond to this assignment request?

A. She should decline to write the report because doing so would compromise her independence.

B. She should accept long-term warrants on Granite's stock in lieu of any cash compensation.

C. She should negotiate a flat fee and disclose this relationship in her report.

Solution: C

CFA職業(yè)倫理真題2：Jasmine, CFA, as a deputy treasurer for Monster College, manages the ABC Student Scholarship Trust. A request for proposal (RFP)for domestic equity managers, is issued by Jasmine. Paul, CFA, a good friend of Jasmine, introduces him to representatives from ABC Capital Investments, which submitted a proposal. Jasmine selected ABC Capital as a manager based on the firm's excellent performance record. Paul, who had outstanding performance as an equity manager with another firm, accepted a lucrative job with ABC Capital shortly after the selection,. Which of the CFA charterholders violated the CFA Institute Standards of Professional Conduct?

A. Both.

B. Neither.

C. Peters.

Solution: B

CFA一級(jí)數(shù)量分析真題1：Lee deposits a large amount of money in his bank account. The bank will pay him 73% interest on any funds he deposits. In order to determine how much of the money there will be in his account five years later, he should use the 73% as a:

A. Required rate of return.

B. Opportunity cost.

C. Discount rate.

Solution: A

CFA一級(jí)數(shù)量分析真題2：Once an investor chooses to invest equity, the return forgone from alternative investments is best described as:

A. discount rate.

B. Opportunity cost.

C. Sunk cost.

Solution: B

CFA一級(jí)數(shù)量分析真題3：Which one of the following statements about the components of the required interest rate on a security is most accurate?

A. The nominal risk-free rate, the real inflation rate, the default risk premium, a liquidity premium and a premium to reflect the risk associated with the maturity of the security.

B. The real risk-free rate, the expected inflation rate, the default risk premium, a liquidity premium and a premium to reflect the risk associated with the maturity of the security.

C. The real risk-free rate, the real inflation rate, the default risk premium, a liquidity premium and a premium to reflect the risk associated with the maturity of the security.

Solution: B

CFA一級(jí)數(shù)量分析真題4：The quotedannual interest rate on an mortgage loan is 10%. The effective annual rate of the loan is 10.38%. The frequency of compounding periods per year for the loan is closest to:

A. Weekly.

B. Quarterly.

C. Monthly.

Solution: B

相關(guān)CFA內(nèi)容推薦： CFA報(bào)名條件 CFA報(bào)考資格 CFA歷年真題

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