2019年CFA道德测试题,附考前模拟题下载!

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中国CFA考试网 2019-04-25 15:07

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  CFA道德这门课与现实世界的联系是我们CFA一级十门课里联系最紧密的一门课,你在整个学习的过程当中能够看到什么样的情景是违反了道德准则,违反了法律规定,所以大家好好学道德,也是对大家以后从业金融行业是有帮助的。
  日前,中国CFA考试网分享了一篇(推荐阅读,适合一二三级阅读):2019CFA职业道德科目考试重要点分析「干货」
 
  #CFA考试倒计时50天#  永远对生活充满希望,对于困境与磨难,微笑应对。
 
  1,Which of the following is most likely part of the CFA Institute Standards of Professional Conduct, Standard I–Professionalism? Members and candidates:
 
  A. must understand and comply with all applicable laws.
 
  B. must not engage in practices that distort prices or artificially inflate trading volume with the intent to mislead market participants.
 
  C. must deal fairly and objectively with all clients when providing investment analysis, making investment recommendations, taking investment action, or engaging in other professional activities.
 
  2,Yuan, CFA, is chief investment officer of Golden Securities. Recently, Yuan found that their company's promotional materials for marketing activities had a mistake. The value of their management asset list on the material was higher than their current actual market value. Yuan realized the reason might be recent market volatility. Which of the following actions is most accurate to comply with the CFA Institute Code and Standard.
 
  A. Do nothing, because the day material made, the value was correct.
 
  B. Correct the asset value and add a footnote indicating the day that the value calculated.
 
  C. Report the mistake to government regulators.
 
  3,Yuan, CFA, is a bond research analyst in XYZ securities. XYZ securities hold a large position in the bond of Carly Group. In last week, many securities company change the stock recommendation of Carly Group, since the disappointing financial report just released. It also led to the collapse of Carly bond prices. Yuan’s supervisor asked Yuan to call their clients and convinced them to continue holding the bonds of Carly Group. However, Yuan had a different thought. He believed the Carly bond price was overvalued. Which of the following action is the most appropriate to comply with the CFA Institute Code of Ethics and Standards of Professional Conduct, Yuan should:
 
  A. make these calls with prominent disclose.
 
  B. follow his supervisor’s request, because of the chain of command.
 
  C. deny his supervisor’s request.
 
  4,To minimize the impact material nonpublic information inside the investment firm, which of the following actions are appropriate except:
 
  A. Banning personal trading.
 
  B. Building firewalls.
 
  C. Cutting compliance department to increase efficiency.
 
  5,Yuan, CFA, is a famous research analyst works on Golden Securities. Sam Group appreciates Yuan’s research report quality and invites him to write an issuer-paid research report. According to the CFA Institute Code of Ethics and Standards of Professional Conduct, Yuan should:
 
  A. accept this assignment with a flat fee and disclose this relationship in the report.
 
  B. accept this assignment with a fee linked the Sam Group stock price and disclose the fee in the report.
 
  C. reject this assignment because it will compromise his independence and objectivity.
 
  答案解析详见:点击领取获取答案解析至邮箱

     (本次测试题由高顿提供)
 
  关于考前做题:
 
  CFA模拟题需要做多少?
 
  CFA协会每年都会提供mock exams,帮助考生做好相关准备,大致预测考试所需时间。模拟试题都会紧扣考纲,题型和结构都满足CFA协会的相关要求。
 
  考生在考前除了当年的mock exams外,近两年的必须看一遍,搞懂,做笔记!这很重要!时间条件允许的话,还可以做之前3到4年的CFA考试mock。按照时间标准来做一次,模拟体验一下节奏!状体要调整好!

       推荐测试题下载:2018年CFA一级考试典型例题pdf版  
 
  看书要看得比较仔细,而且看了两遍。
 
  高顿网校CFA的一位学员,是去年6月考过一级的。他做了近几年的MOCK套题就去考了,题不在多,在于你真的明白每道题为什么错或为什么对。
 
  多做些书后题,把书后的题做了,大概知识点就能梳理了,才能在考场中熟练运用,对考试内容要掌握之外,对考试题型、评分标准、通过标准甚至考场特点也要有一定的了解,这些信息对于通过考试都会有比较大的帮助。
 
  对于所有做过的题,把不会的和拿不准的都做了记号,在临考前的时间再看一遍,事实证明这一遍很有用,考的的印象加深了。
 
  准备CFA一级千万不要走题海战术,特别不要做几年前的模拟题。不但看了后会绝望,会感觉模拟题超难,可能有些答案还是错误的。
 
  对于所有做过的题,把不会的和拿不准的都做了记号,在临考前的时间再看一遍,事实证明这一遍很有用,考的的印象加深了。
 
  中国CFA考试网(www.cfa.cn)综合整理,来源:中国CFA考试网,原创文章,经授权转载,若需引用或转载,请注明出处 ,仅供参考、交流之目的。
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