1:Husband/wife... both working in finance jobs. They routinely discuss possilibility of clients entering mergers, etc. Has they violated Standard of confidentiality(Yes/No) and Standard of Material non-public information(Yes/No)? 我的答案是YES, NO, 因为没有操作。。。 2: Which of the following is not one of the eight major section on GIPS standards? choices: Hedge Fund, Private equity, mutual fund 这个好像不是 NOT ONE OF 吧,应该是ONE OF 吧? 答案很清楚。 3:Questions on content in fundmanetals of compliance? A firm is existed for 12 years, accrording to GIPS, the firm need minimum compliance records: choices: .3 years, 5 years, 10 years, 12 years 我的答案是5年,有人说10年 4:Which of the following is likely to violated Market Manipiulation for buying and immediately selling to have tax benefit(Yes/No) and using Legitimate trading strategy to exploit market inefficiency(Yes/No) 我选的是NO ,YES 5:A member put CFA logo on his individual letterhead or business card. In order to prevent CFA is incorporated into company name, he doesn't place in such close proximity to a company name and put at the bottom of the card. Has he violated Standard VII(B) for his individual letterhead or business card? (Yes/No) 这道我肯定错了不过国外的论坛讨论也有争议,不过集中在YES YES 和 NO NO 上 6:"The CFA program helped to enhance my portfolio skills" violates Standard of misrepresentation(Yes/No)and standard VII(B) (Yes/No)? Ans: No, No (同意) Stat: |