更多"CFA协会的前身（）。"的相关试题:
[单项选择]CFA协会是一家全球性非营利专业机构。CFA协会的前身是（）。
A. AIMR
B. FAF
C. ICFA
D. ACIIA
[单项选择]CFA协会的前身是（），它是北美的证券分析师组织，也是原先世界上影响最广的分析师团体。
A. 投资管理与研究协会
B. 金融分析师联盟
C. 特许金融分析师学院
D. 证券分析师委员会
[单项选择]CFA协会的前身是______，它是北美的分析师组织，也是原先世界上影响最广的分析师团体。
A. 投资管理与研究协会
B. 金融分析师联盟
C. 特许金融分析师学院
D. 证券分析师委员会
[判断题]CFA协会是一家全球性非营利专业机构。（）
[单项选择]CFA证书由CFA协会授予，其获得者须为直接参与投资决策过程的各类人员，并且还必须具备（）年相关工作经验。
A. 3
B. 5
C. 8
D. 10
[判断题]CFA协会是一家全球营利性专业机构，负责在全世界管理CFA(特许金融分析师)课程和考核项目，并为投资业制定专业行为操守和投资表现报告准则。( )
[判断题]拉丁美洲金融分析师和投资管理协会联盟，前身为拉丁美洲证券分析师公会，以阿根廷协会为中心，包含墨西哥、巴西。
[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]Which of the following statements regarding CFA Institute Global Investment Performance Standards (GIPS) is TRUE A firm that employs members of CFA Institute:（）
A. must comply with the GIPS only within the United States.
B. is not required to conform to the GIPS.
C. must choose to comply with either the Performance Presentation Standards (PPS) or GIPS.
[单项选择]The CFA Institute Standards of Practice Handbook requires CFA Institute members to do all the following EXCEPT:（）
A. to inform employer, clients, and potential clients of benefits received for recommending products or services.
B. receive written permission from both their employer and outside clients to engage in investment consulting outside the firm.
C. to disclose in writing to the proper regulatory authority all observed violations of the securities laws and regulations.
[单项选择]A CFA Institute member puts the following statement on her resume: "I passed each level of the CFA exam on the first try." Is this a violation of Standard Ⅶ (B)（）
A. No, because it is a statement of fact.
B. Yes, because she incorrectly refers to the CFA exam.
C. Yes, because saying she passed exams on the first try is not appropriate.
[单项选择]A financial analyst and CFA Institute member sends a preliminary research report on a company to his supervisor. The supervisor approves the report, but then the analyst receives news that causes him to revise downward the earnings estimate of the company. The analyst resubmits the report to the supervisor with the new earnings estimate. The analyst soon finds out that the supervisor plans to release the first version of the report with the first earnings estimate without a reasonable and adequate basis. In response to this the analyst must:（）
A. only insist that the first report be followed up by a revision.
B. only take the issue up with regulatory authorities.
C. insist that the supervisor change the earnings forecast or remove his (the analyst’s) name from the report.
[单项选择]Peter Welsh, CFA, gathered the following information from a company"s most recent financial statements ( U.S. $ in millions):
|
Preferred stock
|
40
|
|
Common stock
|
120
|
|
Additional paid-in capital
|
30
|
|
Retained earnings
|
190
|
|
Treasury stock
|
(55)
|
|
Total shareholders" equity
|
325
|
|
Total number of common shares outstanding
|
10 million
|
|
Tax rate
|
40%
|
Welsh also determined that the company uses the LIFO inventory method, but most companies in the industry use the FIFO method. The footnotes to the financial statements indicate that if the company had used the FIFO method, the inventory balance would have been $ 50 million higher than the amount reported on the company"s most recent financial statements. If the company"s common stock is currently selling for $70 per share, the most appropriate price to book value ratio to use in valuing the company is:
A. 2.22.
B. 2.03.
C. 2.16.
[单项选择]In order to comply with the CFA Institute Standards, an analyst should:（）
A. use only his own research in making investment recommendations, because anything else would violate Standard Ⅰ (B), Independence and Objectivity.
B. use only his company’s research when making investment recommendations and use outside research for reports and analysis on stocks.
C. use outside research only after verifying its accuracy.
[单项选择]Karen Wilson, CFA, supervises eight junior analysts at Spartan Financial Services. Karen suspects that one of the analysts is violating Spartan’s personal investing policy. According to the Standards of Practice Handbook, Karen’s most appropriate initial action is to:（）
A. initiate an investigation.
B. notify her supervisor of the analyst’s suspected misconduct.
C. require the analyst to liquidate and close all personal accounts.
[单项选择]Jan Jurgen, CFA charterholder, recently accepted a position in the Treasury area of a conservatively managed commercial bank. Jurgen intends to suggest the use of plain-vanilla interest rate swaps at today’s Asset & Liability Management Committee meeting. Jurgen is least correct to argue that the use of interest rate swaps will:（ ）
A. reduce the exposure from the mismatch between floating rate assets and fixed rate liabilities.
B. create arbitrage profits by exploiting market inefficiencies.
C. allow more flexibility in packaging cash flows.
[单项选择]A CFA charter holder is caught shoplifting and is sentenced to nine months in prison. Is this a violation of Standard Ⅰ (D)（）
A. Yes, because the prison sentence is more than six months.
B. No, because the prison sentence is less than one year.
C. Yes, because the crime involved stealing.
[单项选择]Tobias Johansen, CFA, is currently fully invested in the market portfolio that lies on the capital market line (CML). Johansen desires to increase the expected return from his portfolio. Johansen is risk averse but willing to accept higher risk if he can increase the expected return from his portfolio. According to capital market theory, Johansen can meet his risk and return objectives best by:（）
A. allocating a higher proportion of the portfolio to higher risk assets.
B. borrowing at the risk-free rate to invest in the risky market portfolio.
C. selling low-risk stocks short and invest the proceeds in higher-risk Stocks.
