CFA一级道德知识学习的目标小编在上次文章中告诉考生了,那在备考CFA一级考试道德科目知识是不是掌握了这些知识呢?

虽说CFA考试道德讲的知识不是金融知识,但是CFA协会对这部分知识看的比较重视的,那你是不是掌握?我们一起学习道德知识考试题!

(1)Bob White is a new CFA charter holder ... . In his bio, he states that he successfully passed all three CFA exams in three consecutive years. On his resume he adds the following line: “CFA, 2013, CFA Society of Pittsburgh”. Are either his bio or his resume in violation ... referencing the CFA designation and program?

A. No.

B. Yes, his resume is incorrect.

C. Yes, both his bio and his resume are in violation of the Standards.

解析:选B。自传(bio)中连续三年通过三门CFA考试属于客观事实陈述,不违规。但简历中应当使用CFA Institute而不是CFA Society of Pittsburgh,因此违规。


(2)Which ... least likely part of ... Standard V(B)–Communication with Clients and Prospective Clients? Members and candidates must:

A. make reasonable efforts to ensure that when communicating investment performance information it is fair, accurate, and complete.

B. disclose to clients and prospective clients significant limitations and risks associated with the investment process.

C. distinguish between fact and opinion in the presentation of investment analysis and recommendations.

解析:选A。“在沟通投资业绩信息时,必须努力确保其公平、*和完整”出自 III(D) “业绩陈述”。向客户表达局限性和风险、区分事实和观点,属于“客户沟通”需要做到的。

CFA知识学习是长期的事情,但是坚持CFA考试是每一位学员应该做到的。通过CFA考试掌握更多的金融知识,让自己变成富有的人。更多CFA备考知识、资料领取及学习答疑的事情,学员可以在线咨询老师。