今天小編給你帶了兩道CFA一級(jí)真題，看看你是不是能在規(guī)定的1分半中做出來(lái)呢？看看你CFA一級(jí)備考情況如何呢？

一、The Global Investment Performance Standardsleastlikely require:

A．nondiscretionary portfolios to be included incomposites

B．non-fee-paying portfolios to be excluded in thereturns of appropriate composites

C．composites to be defined according to similarinvestment objectives and/or strategies

【答案】A【解析】

Composites (Standard Ⅳ- Composites) must be defined according to similar investment objectives and/orstrategies. Terminated portfolios must be included in the historical returns ofappropriate composites, and only fee-paying portfolios are to be included incomposites. Non-discrectionary portfolios must not be included in a firm'scomposites.

二、Jefferson Piedmont, CFA, a portfolio manager forPark Investments, plans to manage the portfolios of several family members inexchange for a percentage of each portfolio's profits. Because his familymembers have extensive portfolios requiring substantial attention, they haverequested that Piedmont provide the services outside of his employment withPark. Piedmont notifies his employer in writing of his prospective outsideemployment. Two weeks later, Piedmont begins managing the family members'portfolios. By managing these portfolios, which of the following CFA InstituteStandards of Professional Conduct has Piedmont violated?

A．Conflicts of Interest

B．Additional Compensation

C．Both Additional Compensation and Conflicts ofInterest

【答案】C查看答案

【解析】


According to Standard Ⅵ(B)and Standard Ⅵ(A), members should disclose all potentialconflicts of interest, should disclose the substantial time involved inmanaging family accounts and, when engaging in independent practice forcompensation, should not render services until receiving written consent fromall parties.

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