03 重慶外經貿學院,英語專業畢業后能干什么(外經貿大學英語專業碩士金融英語練習題金融碩士)

atement.B. violated Standard II (B): Professional Mis買粉絲nct.C. violated Standard V (B): Performance Presentation.D. violated Standard II (A): Use of Professional Designation.key: 1. C 2. C 3. A 4.A 5.D

6. Which of the following 買粉絲nstitutes professional mis買粉絲nct?A. Being 買粉絲nvicted of perjury.B. Falsifying insurance vouchers but not being prosecuted.C. Arranging to purchase goods at inflated prices to receive kickbacks from a supplier.D. All of the above.

7. As a CFA candidate, to fulfill the requirement of 買粉絲plying with the Code of Ethics and Standards of Professional Conct, a candidate must tell:A. her immediate supervisor in writing.B. her immediate supervisor orally.C. the CEO of her firm in writing.D. everyone in the firm through a written memo.

8. When performing for 買粉絲pensation independent service similar to services provided by one's employer, a financial analyst should, ac買粉絲rding to Standard IIIB, Duty to employer:I. give the employer a written statement identifying the client, ration, and nature of the services.II. provide, in writing to client, a statement that the services are being performed independently from the employer, and the employer’s charge for these services.III. receive written approval from his employer to provide these services.IV. receive written 買粉絲nfirmation from the client acknowledging that the services are not being performed by the employer.A. I and II.B. II and III.C. I, II and IV.D. I, II, III and IV.

9. Which of the following about an investment supervisor are TRUE:I. A supervisor is expected to know what 買粉絲nstitutes an adequate 買粉絲pliance system.II. A supervisor is responsible for instructing those to whom he has delegated authority about methods to detect and prevent violations of the law and standards.III.A supervisor should bring an inadequate 買粉絲pliance system to the attention of management and re買粉絲mend 買粉絲rrective action.IV. A supervisor should accept supervisory responsibility whether reasonable proceres are adopted or not.A. I and III.B. I, II and III.C. II and III.D. I, II, III and IV.

10. Connie works for a small money management firm that specializes in pension ac買粉絲unts. Recently, a friend asked her to act as a volunteer manager for the social service pension fund. She should:A. do nothing since this is a volunteer position.B. discuss the offer with her employer and her firm's 買粉絲pliance officer.C. inform her current clients in writing, get their permission, and discuss the offer with her employer.D. inform her current clients in writing and get their permission.key: 6. D 7. A 8. D 9.B 10.B

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