CFA習(xí)題《道德專業(yè)標(biāo)準(zhǔn)》習(xí)題精煉：CFA專業(yè)行為標(biāo)準(zhǔn)

最可怕的敵人，就是沒有堅持的信念。如果你覺得沒有成功，那說明你的堅持還不夠。正保會計網(wǎng)校為您提供CFA考試練習(xí)題，通過做題，能夠鞏固所學(xué)知識并靈活運(yùn)用，考試時會更得心應(yīng)手。

CFA習(xí)題一：研究的客觀性和獨(dú)立性

Andrew Smith, CFA, works for Granite, a commercial bank that also has a sizeable sell side research division. Smith is presenting financing solutions to a potential business client, Dynamic Materials Corp. As part of his presentation, Smith mentions that Granite will initiate research coverage on Dynamic. Is Smith’s arrangement most likely appropriate with regards to the CFA Standards? 

A Yes.

B No, because Smith cannot offer to provide research coverage on a company if they become a corporate finance client. 

C No, because Granite cannot provide research coverage on a corporate finance client as this constitutes a violation of research independence.

CFA習(xí)題二：CFA專業(yè)行為標(biāo)準(zhǔn)

During an on- site company visit, Marsha Ward, CFA, accidentally overheard the Chief Executive Officer (CEO) of Stargazer, Inc., discussing the company’s tender offer to purchase Dynamica Enterprises, a retailer of Stargazer products. According to the CFA Institute Standards of Professional Conduct, Ward most likely cannot use the information because: 

A it relates to a tender offer. 

B it was overheard and might be considered unreliable. 

C she does not have a reasonable and adequate basis for taking investment action. 

成功=時間+方法，自制力是這個等式的保障。世上無天才，高手都是來自刻苦的練習(xí)。而人們往往只看到“牛人”閃耀的成績，忽視其成績背后無比寂寞的勤奮。小編相信，每天都在勤奮練習(xí)，即使是一點(diǎn)點(diǎn)的進(jìn)步，大家一定可以成為人人稱贊的“牛人”。