CFA模拟试题LEVEL1.doc

SchweserPrintableTests-Level1-EXAM1Morning-180minutes-Level1-EXAM1MorningYoucanprintthispagebygoingtofile->-18Questions-27minutesQuestion:1-23379BasedonAIMR'sStandardsofProfessionalConduct,whichofthefollowingstatementsareaviolationofStandardIV(),ProhibitionagainstMisrepresentation?A)Ayoungtraineebondtradertellsaprospectiveclientthatshecanassisttheclientinalltheclient'sinvestmentneeds:equity,e,))mendstoaprospectiveclient,)AbrokersaysXYZstockis100%:2-ordingtoAIMR'sStandardsofProfessionalConductStandardI(B),FundamentalResponsibilities,:A)))):3-28162WhichofthefollowingisaviolationbasedonAIMR'sStandard'sofProfessionalConduct?A)ountfordirectingtheportfolio')Afterinforminghismanager,ivingabrokerinformationrelatingtoaclient'))Aportfoliomanagerisunexpectedlyofferedavacationatyear-endfromaclientwhowaspleasedwiththeirportfolio'