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2012无答案CFA伦职2012级期末试题【朱颖峰】

2012无答案CFA伦职2012级期末试题【朱颖峰】
2012无答案CFA伦职2012级期末试题【朱颖峰】

Student ID: _____________________ Name: _____________________________

Ethics and Professional Standards 2012-2013 1st Final (100+5 points) Statement of Academic Integrity

Any academic dishonesty and cheating behaviors are not allowed in the exam. In order to ensure fairness on behalf of the majority of honest students, if the proctor suspect any cheating behavior by me, I understand that the instructor has the right to deduct the final average score of the whole class by 1 point if no one reports my cheating without any notice, or my midterm score will be deducted by 40 points if someone reports the cheating. I promise I will not make any argument with the instructor on this issue if caught cheating at any time, and I will report any cheating behavior during the exam when I see it.

Names of students suspected of cheating

(The names reported here will not be disclosed to the whole class and this page will be kept by the instructor. Any exam without the signature will be punished by 20 points deduction on the exam score.)

1.

2.

3.

Signature: (Sign here even if you report no one)

(Bonus) Please leave any comment you have so far for the class which you believe I can change to make the learning experience better. Negative comments will not have any adverse effect on your grades so please don’t be afraid to say so. However, please try not to be personal and emotional. Concrete suggestions are especially welcomed. [You get 5 points no matter what you put here so don’t leave it blank.]

●This exam is closed book and closed notes exams.

●Put your selection (A, B, or C) in before each question number

Multiple Choices (100) [2.5 points each]

1. Which one is the least likely stated objective of the CFA institute’s Global Investment Performance Standards (GIPS)?

A. Promote the notion of self‐regulation

B. Foster superior investment performance among investment companies

C. To obtain global acceptance of calculation and presentation standards in a fair, comparable format with full disclosure

2. The most likely decoration of companies’ retained materials and for which type of the material is the legal to retain:

A. 5 years written hard copies

B. 7 years electronic copies

C. 10 years electronic copies

3. Charlie, a CFA member who works in the AXA security company as a broker has lots of information of their clients. James is one of his clients, who is the manager in the index company. They both have a clien t to exchange the security index. James ask Charlie to show that Client’s material to him because he lost some information when he fixed up his computer. Charlie only gave him the basic information but it is still hard to find from the public. Does this activity violate the standard?

A. Yes, violate the material non‐public information

B. Yes, violate the duty to client

C. Yes, both violate the duty to client and the material non‐information

4. Caria Scott, CFA, is a portfolio manager of a company that manages investment accounts for wealthy individuals. Scott has no beneficial interest in any of the fee‐paying accounts she manages, including her uncle’s account .When shares in initial public offerings (IPOs) become available, Scott first allocates shares to all of her other clients for whom the investment is appropriate; only if shares are still available does she purchase shares in her uncle’s account, if the issue is appropriate for him. Scott provides each of her clients with full disclosure of her allocation procedures and has received each client’s verbal consent to her allocation procedures.

According to the Standards of Practice Handbook, does Scott’s method of allocating oversubscribed IPOs violates any CFA Institute Standards of Professional Conduct?

A. No

B. Yes, because she has breached her duty to her uncle

C. Yes, because she has failed to obtain written consent with respect to her allocation procedures.

5. Which one is the most likely to obtain the required record in the GIPS ?

A. 3 years

B. 5 years

C. 7 years

6. Jane Norse, a level III candidate in the CFA program, works for Janme Investment Management. Janme’s compliance procedures states that all personal investments in stocks by Janme employee must provide a written request identifying the stock, the quantity of the stock to be purchased, and the name of the broker through which the transaction will be made. Norse received prior clearance to purchase 300 shares of Stock TTT through broker Linda Securities Company. Three days after she received prior clearance, the price of Stock A had decreased slightly, so Norse decided to purchase only 100 shares of TTT through broker Linda Securities Company. In her decision to purchase only 100 shares of Stock TEL due to price reduction, did Norse violate any CFA Institute Standards of Professional Conduct?

A. No

B. Yes, because she violated her fiduciary duty to her employer and clients

C. Yes, because she violated her employer’s compliance procedures

7. James Suzuki, CFA, is a mortgage loan officer at a bank that offers investment advisory services. The annual fee charged by the bank for investment advisory services is typically one percent of the client’s assets under management. If a prospect referred by Suzuki receives five percent of that client’s an nual fee. According to the Standards of Practice Handbook, which of the following is the most accurate statement about Suzuki’s responsibility with respect to disclosing the referral arrangement? Suzuki is:

A. required to disclose the referral arrangement to all his clients

B. required to disclose the referral arrangement to only those clients whom he refers

C. not required to disclose the referral arrangement because the value of the benefit is not a fixed amount and could be less than US $100 per client

8. Which of the following is none of the components of GIPS?

A. Input data

B. Fixed income security

C. Compliance fundamental

9. Angus Draper, CFA, is a senior portfolio manager and member of the investment committee at Tillamook Investments. Draper serves as a board member for several non‐profit organizations. These commitments require eight workdays per month of Draper’s time. Because he does not receive any form of compensation for these activities, Draper does not tell anyone at work about his board activities, Does Draper violate any CFA Institute Standards?

A. No

B. Yes, with respect to conflict of interest

C. Yes, with respect to additional compensation

10. After extensive research, retired portfolio manager David Sandridge, CFA, purchased 30,000 shares of a small public company. He then posted messages on several Internet bulletin boards. The messages read, "This stock is going up once the pending patents are released. You would be crazy to sell anything below $5 in a few months from now. The stock is a buy at anything below $5. I just bought 30 K shares for my personal account. I have done some close research on these guys." According to the Standards of Practice Handbook, Sandridge most likely violated the Standard or Standards associated with:

A. Conflicts of Interest and Integrity of Capital Markets.

B. Integrity of Capital Markets, but not Conflicts of Interest.

C. Conflicts of Interest, but not Integrity of Capital Markets.

11. According to the Standards of Practice Handbook, a member who copies employer records in violation of the employer’s policies may violate CFA Institute Standards unless the member’s clear intent is to protect

A. Clients

B. Colleagues

C. His reputation

12. Jimmi Alvarez, CFA, is the founder of an Investment advisory firm serving high net worth investors. For the past decade, Alvarez has invested his clients’ money in mid‐cap stocks. After much research, Alvarez determines that small‐cap stocks are undervalued and moves a portion of all of his clients’ assets into thes e stocks. Alvarez plans to inform his clients of this change with their year‐end statements in three months. Has Alvarez violated any CFA Institute Standards? Select exactly 1 answer(s) from the following:

A. No.

B. Yes, with respect to misrepresentation.

C. Yes, with respect to communication with clients and prospective clients.

13. Eric Pantoja is enrolled as a candidate in the CFA examination program. He works as an assistant for Chehalis Investments (CI). Pantoja sees CI’s purchase list and purchases s everal of the recommended stocks. Pantoja least likely violates the CFA Institute Standard relating to:

A. Misconduct.

B. Loyalty to Employer.

C. Diligence and Reasonable Basis.

14. Which of the following statements about verification of compliance with the Global Investment Performance Standards (GIPS) is least accurate?

A. Verification is recommended, but not required.

B. Any independent third party can perform the verification.

C. Verification can be performed with respect to specific composites

15. Mutt Bush, CFA, deputy treasurer for Excellence College, is responsible for the management of the Student Scholarship Trust of the college. Bush issued a Request for Proposals (RFP) for domestic equity managers for the Trust. John Here, an equity salesperson for one of the proposing fund managers, has been a very good friend of Bush for many years. During the RFP process, Here offers to pay for Bush's lunch in the college cafeteria. According to CFA Institute's Standards of Practice Handbook, Bush:

A. May accept the lunch but should take particular care to ensure it does not affect his objectivity.

B. May accept the lunch but must disclose it to the trustees of the Student Scholarship Trust of the college.

C. Should reject the lunch because it will negatively affect his independence and objectivity obviously.

16. The Global Investment Performance Standards (GIPS) require that a firm's presentation of investment performance include the:

A. composite creation date

B. tracking error for a composite.

C. cumulative returns for both composites and benchmarks.

17. Alexandra Zagoreos, CFA, is the head of a government pension plan. Whenever Zagoreos hires

a money management firm to work with the pension plan, she finalizes the deal over dinner at a nice restaurant. At these meals, Zagoreos also arranges for the money manager to provide her payments equal to 10% of the management fee the manager receives from the pension plan. Zagoreos keeps half of the payments for her own use and distributes the remainder as cash incentives to a handful of her most trusted staff. Zagoreos least likely violated which of the following CFA Institute Code of Ethics and Standards of Professional Conduct?

A. Referral fees.

B. Loyalty, Prudence and Care.

C. Additional Compensation Arrangements.

18. Florence Zuelekha, CFA, is an equity portfolio manager at Grid Equity Management (GEM), a firm specializing in commodities. Zuelekha, who previously focused on alternative energy, recently attends her first commodity conference, sponsored in large part by GEM. Independent industry experts, argued commodities would increase in value and recommended investors hold at least 10% of their portfolio assets in commodities based on consistent increases in their values over the

previous two years. Without doing any additional research, Zuelekha recommends to all her clients an immediate allocation of 5% of their portfolio into commodities. Over the next few weeks, Zuelekha moves her own portfolio to a 10% commodity allocation. Which of the CFA Standards did Zuelekha most likely violate?

A. Priority of Transactions.

B. Independence and Objectivity.

C. Diligence and a Reasonable Basis.

19. Wang Dazong, CFA, is a sole proprietor investment advisor. Dazong believes in putting his money at risk along with his clients and trades the same securities as his clients. In order to ensure fair treatment of all accounts, he rotates trade allocations so that each account has an equal likelihood of receiving a fill on their orders. This allocation procedure also applies to Dazong's own account. According to the CFA Institute Code of Ethics and Standards of Professional Conduct, the allocation procedure used by Dazong:

A. complies with the Standards.

B. requires revision to ensure client trades take precedence.

C. should be disclosed and written approval received from clients.

20. Kazuya Kato, CFA, is a widely followed economist at a global investment bank. When Kato opines on economic trends, markets react by moving stock valuations considerably. When Kato receives information of a temporary oversupply of rare earth metals, he issues a forecast that price trends for rare earth metals will be down significantly on a long-term basis. Kato also secretly sells his report to a widely followed Internet site. Prior to issuing this forecast, Kato emailed all portfolio managers at his bank with a copy of his report indicating that his opinion would be reversed shortly so there will be trading opportunities. Kato least likely violated which of the following CFA Institute Code of Ethics and Standards of Professional Conduct?

A. Market Manipulation.

B. Priority of Transactions.

C. Additional Compensation Arrangements.

21. Noor Hussein, CFA, runs a financial advisory business, specializing in retirement planning and investments. One of her clients asks her to advise the firm’s pension fund trustees on available investments in the market including Islamic products. On the day prior to the meeting, Hussein spends an hour familiarizing herself with Islamic investment products and getting updates on local market conditions. The next day she recommends Islamic investment products to the trustees based on her research and her expertise in retirement planning and investments. The trustees subsequently incorporate Islamic products into the ir investment allocation. Did Hussein’s basis for the recommendation most likely comply with the CFA Code of Ethics?

A. Yes.

B. No, with regard to Misconduct.

C. No, with regard to Diligence and Reasonable Basis.

22. Mailaka Securities (MS) advertises the use of a “bottom up” investment style in its marketing material. Recently, MS senior management decided to switch to a “top down” approach, citing the fact that it is less labor intensive. All other aspects of the research process are to remain the same. The head of research at MS, Mara Cherogony, CFA, is instructed to supervise the implementation

of the new procedures, notify clients of the changes, and revise the text of marketing materials when new material is produced. Which of the following CFA Standards pertaining to Investment Analysis, Recommendations and Actions is Cherogony least likely in danger of violating?

A. Supervisory Responsibility.

B. Communication with Clients.

C. Diligence and Reasonable Basis.

23. Bryan Barrett, CFA has an investment advisory service providing advice on gold and other commodities to several large retail banks. Barrett advertises his services in widely read publications to broaden his business to include retail clients. Because the client base for the institutions that Barrett serves is large, he is comfortable stating in the ads that thousands of his clients have benefited from his advice. Does Barrett's advertisement most likely violate any CFA Institute Standards of Professional Conduct?

A. No.

B. Yes, related to Misrepresentation.

C. Yes, related to Communication with Clients.

24. While at a bar in the financial district after work, Ellen Miffitt, CFA overhears several employees of a competitor discuss how they will manipulate down the price of a thinly traded micro cap stock's price over the next few days. Miffitt's clients have large positions of this stock so when she arrives at work the next day she immediately sells all of these holdings. Because she has determined that the micro cap stock was suitable for all of her accounts at its previously higher price, Miffitt buys back her client's original exposure at the end of the week at the new, lower price. Which CFA Institute Standards of Professional Conduct did Miffitt least likely violate?

A. Market Manipulation

B. Preservation of Confidentiality

C. Material Non Public Information

25. Sherry Buckner, CFA manages equity accounts for government entities whose portfolios are conservative and risk averse. Since the objective of her clients is to maximize returns with the lowest possible risk, Buckner considers adding to their holdings a new, thinly-traded, leveraged derivative product which she believes has the potential for high returns. To make her investment decision, Buckner relies upon comprehensive research from an investment bank that has a solid reputation for top quality research. After her review of that research, Buckner positions her accounts

so that each has a 10% allocation to the derivative product. Did Buckner most likely violate any CFA Institute Standards of Professional Conduct by purchasing the derivative for her clients?

A. No.

B. Yes, related to Suitability.

C. Yes, related to Loyalty, Prudence and Care.

26. Sergio Morales, CFA believes he has found evidence his supervisor is engaged in fraudulent activity concerning a client's account. When Morales confronts his supervisor, he is told the client is fully aware of the issue. Later that day, Morales contacts the client and upon disclosing his evidence, is told he should mind his own business. Concerned his job is at risk, Morales provides his evidence, along with copies of the client's most recent account statements, to a government whistle blower program. Morales is least likely to have violated which of the following CFA Institute Standards of Professional Conduct?

A. Duties to Clients

B. Duties to Employers

C. Communication with Clients

27. Leng Bo, CFA is a bond portfolio manager for individual investors. Last year, a client whose portfolio is limited to investment-grade bonds approved Bo's purchase of a below investment grade bond. Because yields in the high grade fixed income markets declined, Bo subsequently decides to enhance this client's portfolio by investing in several additional bonds with ratings one or two notches below investment grade. The investment strategy implemented by Bo most likely violated which of the following CFA Institute Standards of Professional Conduct?

A. Suitability

B. Communications with Clients

C. Independence and Objectivity

28. Eileen Fisher, CFA has been a supervisory analyst at SL Advisors for the past ten years. Recently, one of her analysts was found to be in violation of the CFA Institute Standards of Professional Conduct. Fisher has placed limits on the analyst's activities and is now monitoring all of his investment activities. Although SL did not have any compliance procedures up to this point, to avoid future violations, Fischer has put in place procedures exceeding industry standards. Did Fisher most likely violate any CFA Institute Standards of Professional Conduct?

A. Yes.

B. No, because she has taken steps to ensure the violations will not be repeated by the analyst.

C. No, because she is taking steps to implement compliance procedures that are more than adequate.

29. Colin Gifford, CFA is finalizing a monthly newsletter to his clients, who are primarily individual investors. Many of the clients’ a ccounts hold the common stock of Capricorn Technologies. In the newsletter, Gifford writes, “Based upon the next six months earnings of $1.50

per share and a 10% increase in the dividend, the price of Capricorn's stock will be $22 per share by the end of t he year.” Regarding his stock analysis, the least appropriate action Gifford should take

to avoid violating any CFA Institute Standards of Professional Conduct would be to:

A. separate fact from opinion.

B. include earnings estimates.

C. identify limitations of the analysis.

30. Yao Tsang, CFA has a large percentage of his net worth invested in the Australian mining company, Outback Mines, which he has held for many years. Tsang is in the process of moving to a new employer where he is responsible for initiating research on mining companies. Shortly after his move, Tsang is asked to complete a research report on Outback. In order to meet the CFA Institute Standards of Professional Conduct concerning his stock holding, which of the following actions is most appropriate for Tsang to take?

A. Disclose his stock holding to his employer and to clients.

B. Sell his stock holdings to eliminate any potential conflict of interest.

C. Refuse to write the report and ask his employer to assign another analyst to complete the analysis.

31. Benefits of compliance with the CFA Institute Global Investment Performance Standards (GIPS?) least likely include:

A. strengthening of internal controls.

B. participation in competitive bidding.

C. elimination of in-depth due diligence for investors.

32. Zhao Xuan, CFA, is a sell side investment analyst. While at a software industry conference, Zhao hears rumors that Green Run Software may have falsified its financial results. When she returns to her office, Zhao conducts a thorough analysis of Green Run. Based on her research, including discussions with some of Green Run’s customers, Zhao is convinced that Green Run’s reported 50% increase in net income during recent quarters is completely fictitious. So far, however, Zhao is the only analyst suspicious about Green Run’s reported earnings. According to the CFA Institute Code of Ethics and Standards of Professional Conduct, the least appropriate action for Zhao is to:

A. report her suspicions to Green Run’s management.

B. do nothing, until other analysts support her analysis.

C. recommend her clients sell their Green Run shares immediately.

33. Kirsten Kelso, CFA, is a research analyst at an independent research firm. Kelso is part of a team of analysts who focus on the automobile industry. Recently, Kelso disagreed with two research sell recommendations written by her team even though she felt confident the research process was properly conducted. In a webcast open to all institutional but not retail clients, Kelso

states “e ven though my name is on the sell reports, these stocks are a buy in part because sales and share prices for both auto companies will rise significantly due to strong demand for their vehicles.” Kelso’s actions would least likely violate which of the follo wing CFA Institute Standards of Professional Conduct?

A. Fair Dealing

B. Communication with Clients

C. Diligence and Reasonable Basis

34. Robin Herring, CFA, is a government bond research analyst at an independent credit rating agency. A competitor credit rating agency just downgraded the bonds of a government Herring follows. Herring notes all of the information in the competitor’s report was covered in his analysis published last week. In the past, Herring has been slow to downgrade bonds, so he starts to doubt his own analysis after seeing the competitor’s report. Herring decides to reissue his credit rating of this government bond and match the competitor’s downgrade. In his revised report, Herring states that new information has been made available to justify the downgrade. Herring posts the revision on the credit rating agency’s website and provides it by e-mail to all clients who received the original. Herring’s rating change least likely violated which of the following CFA Institute Code of Ethics and Standards of Professional Conduct?

A. Fair Dealing

B. Communication with Clients

C. Diligence and Reasonable Basis

35. Oliver Opdyke, CFA, works for an independent research organization that does not manage any client money. In the course of his analysis of Red Ribbon Mining he hears rumors the president of Red Ribbon, Richard Leisberg, has recently been diagnosed with late stage Alzheimer’s disease, a fact not publicly known. The final stage of Alzheimer’s is when individuals lose the ability to respond to their environment, the ability to speak, and, ultimately, the ability to control movement. Leisberg is the charismatic founder of Red Ribbon, and under his leadership the company grew to become one of the largest in the industry. According to the CFA Institute Code of Ethics and Standards of Professional Conduct, the most appropriate action for Opdyke is to:

A. immediately publish a sell recommendation for Red Ribbon Mining.

B. confirm the president’s diagnosis before publishing his research report.

C. encourage Red Ribbon Mining management to disclose the president’s medical condition.

36. Johannes Meir, CFA, is a compliance officer for Family Estate Planning, LLC, a private-wealth consulting firm. Many of his colleagues have family members who have started their own retail businesses. Some of Meir’s colleagues have been asked by relatives to serve as non-executive directors or advisors to their companies. Meir should most likely recommend which of the following policies to ensure compliance with the CFA Institute Standards?

A. Prohibit employees from becoming directors or advisors

B. Require employees to declare all income sources annually

C. Require employees to declare all outside business interests

37. James Simone, CFA, the CFO of a publicly listed company, seeks to improve the quality of his company’s communication with institutional fund managers. He holds an investor briefing with this group the evening before the company earnings are announced. The company’s quarterly earnings are broadcast in a press release the next day before the market opens. The earnings information in the investor briefing is identical to that in the press release. Did Simone most likely violate the CFA Institute Standards of Professional Conduct?

A. Yes

B. No, because investor briefing and press release information are identical

C. No, because the company releases information while the market is closed

38. For periods beginning on or after 1 January 2011, the aggregate fair value of total firm assets most likely includes all:

A. fee-paying discretionary accounts.

B. fee- and non-fee-paying discretionary accounts.

C. fee- and non-fee-paying discretionary and non-discretionary accounts.

39. Molly Burnett, CFA, is a portfolio manager for a fund that only invests in environmentally friendly companies. A multinational utility company recently acquired one of the fund’s best performing investments, a wind power company. The wind power company’s shareholders received utility company shares as part of the merger agreement. The utility has one of the worst environmental records in the industry, but its shares have been one of the top performers over the past 12 months. Because the utility pays a high dividend every three months, Burnett holds the utility shares until the remaining two dividends are paid for the year then sells the shares. Burnett most likely violated the CFA Institute Standard of Professional Conduct concerning:

A. suitability.

B. disclosure of conflicts.

C. independence and objectivity.

40. Vishal Chandarana, an unemployed research analyst, recently registered for the CFA Level I exam. After two months of intense interviewing, he accepts a job with a stock brokerage company in a different region of the country. Chandarana posts on a social media blog how being a CFA candidate really helped him get a job. He also notes how relieved he was when his new employer didn’t ask him about being fired from his former employer. Which CFA Institute Code of Ethics or Standards of Professional Conduct did Chandarana least likely violate?

A. Misconduct

B. Loyalty to Employers

C. Reference to the CFA Program

北师大版2012年小学六年级上册语文期末测试题及答案

北师大版六年级语文上册期末模拟试卷(一) 班级姓名 一、汉字。 1.看拼音写词语。 kuí wúdàn shēng jǔ sàng h?n zhíyàn xiàn ()()()()() 2.给下面带点字选择正确的读音,画上横线。 我不晓得.(de dé děi)当初.(cū chū )为什么管它叫做兴.(xīng xìng)安岭,由今.(jīn jīng)天看来,它的.(de dí dì )确含有兴国安邦的意.(yì yù )义。 3.查字典知识填空。 ①音序查字法查:“丸”字应查音序_______;“乃”字查音序_______。 ②部首查字法查:“匠”字应查_______部,再查_______画。 二、词语。 1.按规定要求写出四个成语。 出自寓言故事的成语___________ ___________ ___________ ___________ 出自历史故事的成语___________ ___________ ___________ ___________

2.把下面的词语补充完整。 ()珑剔透寡()鲜耻气势()礴囫囵吞() ()叹不已挥()自如张牙()爪化险为() 更多免费资源下载绿色圃中小学教育网https://www.sodocs.net/doc/879053031.html, 课件|教案|试卷|无需注册 3.根据提示,分别写一个“看”的近义词。 ①表示向远处看______;②表示向下看______;③表示向四周看______;④表示恭敬地看 ______;⑤表示向上看______;⑥表示偷偷地看______;⑦表示拜访地看______;⑧表示注意力集中看______;⑨表示粗略的看______;⑩表示生气地看______。 4.选词填空。 反映反应必须必需 (1)同学们积极向老师( )情况。 (2)明天野炊,各小队( )带齐野炊用具。 既然……就……只有……才……即使……也……尽管……也…… (1)( )坚持锻炼身体,( )能增强体质。 (2)这本书( )你先借的,你( )先拿去看吧。 5.照样子,写上适当的答案。 (1)例:寒冷对冬天正如炎热对夏天。 白天对明亮正如夜晚对( )。 (2)例:芝麻开花——节节高。 小葱拌豆腐——( )。 三、句子。

2012-2013上期高一期末语文考题何明伟

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