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2016年CFA特许金融分析师一级试题(一)

来源：高顿网校 2015-10-12

　　1. York Investment Advisers， which has publicly adopted the CFA Institute. Standards of Professional Conduct， has recently published a new marketing brochure highlighting the accomplishments of its investment professionals. Which of the following statements made in York‘s marketing brochure is a violation of Standard VII(B) Reference to CFA Institute， the CFA Designation， and the CFA Program？

　　A. Roger Langley， Chartered Financial Analyst， has been a portfolio manager with York for ten years and passed all three levels of the CFA examinations on his first attempts.

　　B. Langley is one of three CFAs on staff with York. We expect that two more of our staff members will earn the right to use the designation in the future.

　　C. Paul Yeng has retired from the firm after 25 years of service. Yeng was awarded the CFA charter in 1988. Much of the firm’s past successes can be attributed to Yeng‘s efforts as an analyst and portfolio manager.

　　2. Hedge Funds Unlimited，a global hedge fund，has publicly acknowledged in writing that it has adopted the CFA Institute Code and Standards as its policies. Which of the following is least likely a violation of the firm’s policies？

　　A. An analyst at the firm working overseas uses material nonpublic information as allowed by local law to make investment decisions for discretionary client accounts.

　　B. A junior analyst at the firm uses a subscription to his local newspaper and the opinions of his friends and colleagues to make investment recommendations for discretionary client accounts.

　　C. A CFA candidate at the firm，who is registered for the Level 3 exam，includes reference to participation in the CFA program and her status as a Level 3 candidate in her biographical background.

　　3. Ralph Malone，CFA，is an investment adviser at a multinational finance corporation. He has many wealthy individuals among his clients， including a trust account that benefits three of his immediate family members. The research department of Malone‘s firm issues a “buy” recommendation on a stock that would be a suitable investment for several client accounts， including the family trust account. Which of the following would be considered a violation of Standard VI(B) Priority of Transactions？

　　A. After giving clients time to act on the new recommendation， the firm buys 100，000 shares for its own account.

　　B. Malone trades on the family account shortly after his firm’s clients have been informed of the buy recommendation.

　　C. Malone waits to trade on the family account until four days after his firm‘s clients have been informed of the buy recommendation， when his employer’s trades are entered.

　　4. Linda Bryant， CFA， is an employee of Roomkin Investment House， which underwrites equity and debt offerings. She has been approached by SimthCo to consult on a private debt placement. According to CFA Institute Standards of Professional Conduct， before Bryant agrees to accept this job， she is required to：

　　A. obtain written consent from Roomkin after submitting details of the arrangement.

　　B. talk to her immediate supervisor and get her approval to take this consulting job.

　　C. inform SimthCo in writing that she will accept the job and provide details of the arrangement　to Roomkin in writing.

　　5.To comply with the Code and Standards， analysts who send research recommendations to clients must：

　　A. keep records of all the data and analysis that went into creating the report.

　　B. send recommendations only to those clients for whom the investments are suitable.

　　C. not send recommendations without including the underlying analysis and basic investment characteristics.

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