CFA備考*的利器有哪些？CFA*、各種CFA試題、CFA教材、CFA考試大綱等，但是在備考中還是考試題能檢驗(yàn)?zāi)愕闹R(shí)學(xué)習(xí)情況，那在備考中你做題了沒有？

1.According to the Global Investment Performance Standards (GIPS), which of the following is not a part of the verification process? Testing whether the:

A．firm has complied with all the composite construction requirements

B．verification is undertaken by the compliance department in the absence of a third party

C．firm's processes and procedures are designed to calculate results in compliance with GIPS standards

【答案】B

【解析】

CFA Level Ⅰ"Introduction to the Global Investment Performance Standards (GIPS)," CFA Institute,2011

2．Jiro Sato, CFA, deputy treasurer for May College, manages the Student Scholarship Trust. Sato issued a request for proposal (RFP) for domestic equity managers. Pamela Peters, CFA, a good friend of Sato, introduces him to representatives from Capital Investments, which submitted a proposal. Sato selected Capital as a manager based on the firm's excellent performance record.

Shortly after the selection, Peters, who had out standing performance as an equity manager with another firm, accepted a lucrative job with Capital. Which of the CFA charter holders violated the CFA Institute Standards of Professional Conduct?

A．Both

B．Neither

C．Peters

【答案】B

【解析】


Members should use reasonable care and judgment to maintain independence and objectivity, as stated in Standard I (B). There is no indication of inappropriate behavior in the selection of the equity manager or in the acceptance of employment with that manager; both decisions were based on the excellent performance records of the manager and the member, respectively.

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