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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:6019提问数量:108519
Lin Xuan, CFA, is a sell side investment analyst. Lin hears rumors that GR Software may have falsified its financial results while at a software industry conference. When she returns to her office, Lin conducts a thorough analysis of GR. Based on her research, including discussions with some of GR’s customers, Lin is convinced that GR’s reported 50% increase in net income during recent quarters is completely fictitious. Lin is the only analyst suspicious about GR’s reported earnings so far, however. According to the CFA Institute Code of Ethics and Standards of Professional Conduct, the least appropriate action for Lin is to: Areport her suspicions to GR’s management. Bdo nothing, until other analysts support her analysis. Crecommend her clients sell their GR shares immediately. 该题中的C选项 ,analyst和fund manager之间有firewall,那analyst分析出来的结果因为被隔离所以不能告知给客户,这个理解怎么说呢?
查看试题 已回答Ensuring that a majority of the members of the audit committee are independent members of the Board. 不是应该所有的成员都是independent的吗?
查看试题 已回答Machile, CFA, is the Managing Director for Business Development of a large U.S.-based Hedge fund organization. Machile recently approved unusual terms for the fund’s client agreement in order to secure business from a large hedge fund manager based in Asia. To allow for time zone differences, the agreement allows the hedge fund to trade six hours after the close of U.S. markets. According to the Standards of Practice Handbook, did Machile violate any CFA Institute Standards of Professional Conduct? A No. B Yes, because he failed to inform his other clients of the unusual terms under the new client agreement, thus not treating clients equally. C Yes, because he failed to review regulations on late-trading and did not consult with ABC’s compliance director to determine if late-trading was acceptable. 老师,B 和C选项麻烦解析下,为什么C
查看试题 已回答Since Farmco is thinly traded, Waters is concerned the order will overwhelm the liquidity of Farmco and the price will surge. Waters engages in a series of block trades in order to accomplish the purchase. 老师,我的理解这个意思不就是Waters想通过交易量控制价格吗?所以不应该是transaction-based吗?
查看试题 已回答Significant events and contingencies that may affect future operations不是在notes里吗?怎么又成MD&A里的了?
查看试题 已回答精品问答
- 为什么可以把TR TC同时体现在纵轴?
- 为什么B选项要考虑借股还股?而A选项没有考虑借钱买然后还钱?可以都不考虑吗?还是借股还股一定要在这个流程中体现?
- 老师好,官网这道题我有点没太懂,麻烦讲解
- 老师您好!这个需要掌握吗?谢谢
- 是不是只有在市场均衡点,才是社会总福利不损失的点? 偏离市场均衡点,社会总福利都会损失? 因为要么生产过剩,要么就是总供给不足. 另外,为什么只有在完全竞争市场中才能实现社会总福利最优,才能有市场均衡点? 在其他各类市场中,不是需求供给需求也是有的吗?他们的均衡点难道不是市场均衡点吗? 在那个点声场不是可以实现社会总福利最优吗? 这点不是很清楚,老师可以画图说明下. 另外, 对于一级价格歧视这种,它又是怎么实现社会总福利不损失的,这时候的需求曲线和供给曲线是什么样的?和完全竞争市场不同吗
- 卖空股票价格必须要比之前交易价格更高这句话是什么意思? 是买入时的股票价格高于卖出时?那不是必然的吗?否则怎么赚钱? 还是说现在做空的价格要高于之前做空的价格. 请举个例子.
- 一级市场,二级市场, 公开发行/私募发行, 开放式和封闭式,这些关系是什么?可以互相组合吗? 按照老师说的,开放式基金只能通过基金公司买卖,那么是不是属于一级市场内的?而不是二级市场的?封闭式则属于二级市场的. 公募和私募的区别是买卖上市非上市股票,还是向市场所有人/部分人募集呢? 会存在上市公司股票只针对部分人募集一级非上市公司股票针对所有人募集的情况吧?
- 组合Q18,无差异曲线斜率不是-1/2Aσ方吗,A>0,所以斜率不是负的吗
