更多"The CFA Institute Standards of Prac"的相关试题:
[单项选择]According to CFA Institute Standards of Professional Conduct, members should do all of the following to meet the compliance procedures for having a reasonable basis for recommendations, EXCEPT:（）
A. distribute a detailed, written research report to clients with each recommendation.
B. analyze the client’s investment needs.
C. maintain files to support investment recommendations.
[单项选择]Based on CFA Institute Standards of Professional Conduct, which of the following statements is a violation of Standard Ⅰ (C), Misrepresentation（）
A. 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.
B. A trust officer recommends lengthening the average maturity of a bond portfolio because she believes long-term interest rates will decline over the next few months.
C. An investment manager recommends to a prospective client an investment in GNMA bonds because they are guaranteed by the federal government.
[单项选择]The Standards of Practice Handbook is least likely to require a member of member’s firm to disclose which of the following to clients and prospective clients（）
A. Underwriting relationships.
B. Market-making activities.
C. Obligation to abide by CFA Institute Code of Ethics and Standards of Professional Conduct.
[单项选择]According to the Standard of Practice Handbook, a supervisor establishing procedures to eliminate conflicts of interest relating to personal trading would least likely recommend requiring:（）
A. a ban on employee investments.
B. disclosures of beneficial ownerships.
C. duplicate confirmations of employee transactions.
[单项选择]According to the Standards of Practice Handbook, a member with-supervisory responsibilities violates the CFA Institute Standards of Professional Conduct if the member fails to:（）
A. prevent violations of the law.
B. prevent violations of the CFA Code and Standards.
C. establish and implement written compliance procedures.
[单项选择]According to the Standards of Practice Handbook, members must make a reasonable inquiry into a client’s financial situation, and must do all of the following EXCEPT:（）
A. consider the suitability of investment recommendations for the client.
B. distinguish between fact and opinion when making recommendations.
C. update information on the client’ s situation at least semi-annually.
[单项选择]According to the Standards of Practice Handbook, which of the following statements about fair dealing is least accurate The Standard relating to fair dealing:（）
A. states that members should treat all clients equally.
B. pertains to both investment recommendations and investment actions.
C. imposes a duty with respect to both clients and prospective clients.
[填空题]
The practice of telemedicine illustrates that we’re quire able to harness ______.
[单项选择]Practice, practice, practice. Studying a word won’t help very much if you quickly forget it. The saying" practice makes perfect" is certainly true in vocabulary learning. Research shows that it takes from 10 to 20 repetitions of a word to really make it a part of your vocabulary. It helps to write down the word—both the definition and a sentence using it—perhaps on an index card, where it can be easily reviewed. Review your index cards regularly to see if you have forgotten any new words.
Repeating a new word less than 10 times, a learner is likely to
A. remember it.
B. forget its meaning.
C. know how to use it.
D. know its spellin
[填空题]·has its handbook criticised
[单项选择]Neil Barton, CFA, and Nancy Roberts, CFA, began a joint research report on Stamp Corporation. Nancy spent several days visiting Stamp’s corporate headquarters and meeting with all company officers. Prior to the completion of the report, Nancy was reassigned to another project. Neil utilized his and Nancy’s research to write the report. According to the CFA Institute Standards of practice Handbook, did Nell Violate any CFA Institute Standards of Professional Conduct（）
A. No.
B. Yes, with respect to misrepresentation.
C. Yes, with respect to independence and objectivity.
[填空题]A Practical Handbook for Teachers is written by Sharp and Smith, professors of a prestigious university.
[填空题]
Dafter interviewing become common practice
62. ______
in the United States, American
journalists were
teaching Europeans what their own elites would
63. ______
submit to interviews. In 1879, an
American named
James Creelman became a first person to interview
64. ______
the president of France. During World War
1,
American correspondents helped transforming the
65. ______
standing of the interview in Britain. One of
them
recalled, "You saw the immemorial aloofness of the
King of England
wiping out at a tea party for 66.
______
American journalists at Sandringham; you beheld the
holy of holy of
the British War Office as the setting 67. ______
of a weekly
conference with reporters."
The World scored with the pope
(Benedict
XV) again in 1915. Interviewing the pope seems to
have been the
next best thing to interview God for 68.
______
