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CFA一级

CFA一级

包含CFA一级传统在线课程、通关课程及试题相关提问答疑;

专场人数:5965提问数量:107974

感觉应该是怀疑的时候才寻求帮助吧?为什么已经知道违规了,不走know的那个途径,一方面disassociate,另一方面report?

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不是必须完全了解客户之后才能做ips吗

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老师,请问:Parker没有违规,题目问的是east likely最不可能,那C选项的意思不是他违规了么?为什么不选B?

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这个题目,如果改成C在网上搜索相关的收购信息时有相应结果的话,就不构成内幕信息吧?

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low yielding small cap ,其中small cap知道是高风险产品,但是为什么是low yielding? 高风险不是高收益吗?

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如果客户要下的单不适合客户,跟客户说明情况以后客户还是坚持要下单,那也是可以下单的呀,只是要获得一份书面确认书之类的,来保护自己,为什么这里又说不可以???

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R同学为什么会盈利?没听懂。买期权那一块

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Freddie, a salesperson, established an IPS for a client when he persuaded the client to direct his transactions to their firms. Freddie is in charge of executing orders with some recommendations on choices made by the client. One day, the client made an order to purchase some stocks that are not suitable for him. Freddie responded by stating that the client take a second thought of his order. Instead, the client insisted his original decision. At last, Freddie agreed to execute the order. Did Freddie comply with the Standards? 老师,客户的想法和ips不符是不是就证明对ips有影响,所以就要update ips?

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谣言也算mni吗 不是不可靠来源不算mni吗

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Lily, CFA, is an investment manager. Lily sent an anonymous letter to securities regulators outlining various accounting irregularities at Ruddney Company last month. Lily shorted Ruddney stock for his clients shortly before he sent the letter to the regulators. Lily leaked this information to multiple sources in the media once the regulators opened an investigation. Consequently, the share price of Ruddney immediately dropped 20% when news of the investigation became public. Lily then covered the short positions and made $10 per share for his clients. Which of the following CFA Institute Standards of Professional Conduct did Lily least likely violated? 老师, 你好,这道题里面, 哪一点说明了Lily有misconduct

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