CFA-Level1经典模拟试题1200道

CFALevel1经典模拟试题1200道【一份十分经典的专业资料，打灯笼都找不到的好资料】8SchweserPrintableTests-Level1-EXAM1Morning-180SchweserPrintableTests-Level1-EXAM1Morning-180SScchhwweesseerrPPrriinnttaabblleeTTeessttss--LLeevveell11--EEXXAAMM11MMoorrnniinngg--118800minutes-Level1-EXAM1Morningminutes-Level1-EXAM1Morningmmiinnuutteess--LLeevveell11--EEXXAAMM11MMoorrnniinnggYoucanprintthispagebygoingtofile-printinyourinternetbrowserEthics-18Questions-27minutesEthics-18Questions-27minutesEEtthhiiccss--1188uueessttiioonnss--2277mmiinnuutteessQuestion1-23379BasedonAIMRsStandardsofProfessionalConductwhichofthefollowingstatementsareaviolationofStandardIVB6ProhibitionagainstMisrepresentationAyoungtraineebondtradertellsaprospectiveclientthatshecanassisttheclientinalltheclientsinvestmentneedsequityfixedincomeandderivativesandbasedAonheryearsofexperienceasananalystinthebusinessthataninvestmentlookslikeithaslotsofpotentialBAlloftheseAninvestmentmanagerrecommendstoaprospectiveclientaninvestmentinCmortgageIOstripsbecausetheyareguaranteedbyanagencyofthefederalgovernmentAbrokersaysXYZstockis100guaranteedtodoubleinvalueoverthenextsixDmonthsQuestion2-28161AccordingtoAIMRsStandardsofProfessionalConductStandardIBFundamentalResponsibilitiesmembersshallnotknowinglyparticipateorassistinlegalandethicalviolationsAnanalystmustreportalllegalviolationstotheproperregulatorycommissionandisheldAresponsibleforparticipatinginillegalactswhenthelawisevidenttoanyoneknowingthelawisheldresponsibleforviolationsbyotherswhentheanalystisunawareofthefactsBgivingrisetotheviolationisheldresponsibleforparticipatinginillegalactswhenthelawisevidenttoanyoneCknowingthelawandcanparticipateinaviolationbyhavingknowledgeoftheviolationandtakingnoactiontostopitordisassociatefromitisheldresponsibleforparticipatinginillegalactswhenthelawisevidenttoanyoneDknowingthelawandisheldresponsibleforviolationsbyotherswhentheanalystisunawareofthefactsgivingrisetotheviolationQuestion3-28162WhichofthefollowingisaviolationbasedonAIMRsStandardsofProfessionalConductAportfoliomanageracceptsfreetradesfromXYZforherpersonalaccountforAdirectingtheportfoliostradestoXYZShedoesnotinformhermanagersincethereisnocashinvolvedAfterinforminghismanageraportfoliomanageracceptsmoneyforgivingabrokerBinformationrelatingtoaclientsfinancialstandingAportfoliomanagerisofferedafreevacationtoincreaseperformanceAttheendCoftheyearperformanceisupandthemanageracceptsthevacationafterinforminghismanagerofthefactAportfoliomanagerisunexpectedlyofferedavacationatyear-endfromaclientDwhowaspleasedwiththeirportfoliosperformanceThemanageracceptsthevacationafterinforminghermanagerofthefactQuestion4-28165BasedonAIMRsStandardsofProfessionalConductwhichofthefollowingstatementsareaviolationofStandardIVB6ProhibitionagainstMisrepresentationAyoungtraineebondtradertellsaprospectiveclientthatshecanassisttheclientinalltheclientsinvestmentneedsequityfixedincomeandderivativesandbasedAonheryearsofexperienceasananalystinthebusinessthataninvestmentlookslikeithaslotsofpotentialAninvestmentmanagerrecommendstoaprospectiveclientaninvestmentinBmortgageIOstripsbecausetheyareguaranteedbyanagencyofthefederalgovernmentAbrokersaysXYZstockis100guaranteedtodoubleinvalueoverthenextsixCmonthsDAlloftheseQuestion5-28167NOTNOTWhichoneofthefollowingisNNOOTTconsistentwithAIMRsPerformancePresentationStandardsACashandcashequivalentsmustbeincludedincompositereturnsAllactualfeepayingdiscretionaryportfoliosshouldbeincludedinatleastoneBcompositeInvestmentperformanceistherecordofthemanagernotthefirmallchangesinCpersonnelshouldbeaccountedforbyadjustingthecompositesperformancehistoryPresentationofperformancemaybeeithergrossornetofinvestmentmanagementDfeesaslongasthemethodandthefeeschedulearedisclosedQuestion6-28168UndertheEmployeeRetirementIncomeSecurityActERISAapersonisafiduciaryifheorshehasdiscretionaryauthorityintheadministrationofthepensionplanrendersAinvestmentadviceforafeewithrespecttoapensionplansassetsexercisesanydiscretionaryauthoritywiththemanagementofthepensionplanoritsassetsBhasanexecutivepositioninthefirmsponsoringthepensionplanhasanexecutivepositioninthefirmsponsoringthepensionplanhasdiscretionaryCauthorityintheadministrationofthepensionplanexercisesanydiscretionaryauthoritywiththemanagementofthepensionplanorDitsassetsQuestion7-29219TherearefourcomponentsoftheAIMRCodeofEthicsAllofthefollowingarepartoftheEXCEPTEXCEPTCodeofEthicsEEXXCCEEPPTTPracticeandencourageotherstopracticeinaprofessionalandethicalmannerthatAwillreflectcreditonmembersandtheirprofessionStrivetomaintainandimprovethecompetenceofregulatorybodiessuchastheBSecuritiesandExchangeCommissionSECCStrivetomaintainandimprovethecompetenceofothersintheprofessionDUsereasonablecareandexerciseindependentprofessionaljudgmentQuestion8-29220AIMRbelievesthataimumlevelofprofessionalresponsibilityandconductdictatesthatAmembersbeawareofandcomplywithlawsrulesandregulationsgoverningtheirconductcompaniesshouldsetstandardsbasedontheethicsofuppermanagementandBtheboardofdirectorsthatfirmsshouldcomplywithalldomesticlawsandregulationsandthatthesela