注册金融分析师一级-7.doc

注册金融分析师一级-7
（总分：100. 00，做题时间：90分钟）
一、单项选择题（总题数：44,分数：）
An investment management firm has been hired by SEK Corpe fully disclosed in writing to his employer. 解析：［解析］本题主要涉及执业操守标准1（B）（独立与客观）的相关规定。
根据执业操守标准的相关规定，会员应当拒绝任何有可能损害其独立性和客观性的馈赠。在本题中，斯考 特按照上述要求拒绝了旅馆费用和商用飞机的使用。由于题目中的计算器只具有较低的价值，通常不会影 响其执业活动中的独立性和客观性，从而他可以接受该礼物。但是，考虑到高档宴会的门票通常价格不菲 或很难获得，斯考特不应当接受宴会门票。即便他将收受宴会门票的行为向其雇主进行了披露并准备在宴 会上为其雇主公司进行推销活动，上述馈赠仍很有可能损害斯考特执业活动的独立性和客观性。因此，斯 考特收受ChemCo公司向其提供的宴会门票的行为违反了执业操守标准I （B）的规定，本题的正确选项为 Ao
Kenneth, CFA, has just started work as a trainee with Jerron Asset Management Co., a small regional money management firm started six months ago. He has been told to make a few cold calls and round up some new clients. In which of the following statement has Kenneth least
likely violated the Code and Standards?
(分数：)
〃We can perform all the financial and investment services you need. We〃ve consistently outperformed the market indexes and will continue to do so under our current management. 〃
〃We can assist you with all the financial and investment services you need. If we don〃t provide the service in-house, we have arrangements with other full-service firms that I would be happy to tell you about. " J
〃0ur firm has a long history of successful performance for our clients. While we can〃t guarantee future results, we do believe that we will continue to benefit our clients." 解析：［解析］本题主要涉及执业操守标准1(0(不当表述)的相关规定。
执业操守标准I (C)禁止会员向其客户做出某项投资可以获得特定收益的保证。由于选项A中包含“我们 的投资业绩一直超过市场指数水平并将在现有管理水平下继续保持上述业绩”的表述，因而显然违反了上 述规定。同时，执业操守标准I (C)还规定，会员在其口头陈述、产品推广、电话/电子邮件交流和书面形 式的交流中不得故意做出任何虚假的信息传达。考虑到杰伦资产管理公司是一家开业不久的小型地区性资 金管理公司，该公司很可能不具备向客户提供其需要的所有金融服务和投资服务的能力，因而选项A也违 反了该项规定。
由题干可知，杰伦资产管理公司的开业时间仅有6个月，从而选项C中“我们在为客户提供成功的投资业 绩方面具有悠久的历史”的表述不符合实际情况。因此，选项C不正确。
Edwin, CFA, obtained a copy of a computerized stock selection model designed by a former MBA classmate who is a Wall Street analyst. After spending some time reviewing the program and making some adjustments, Edwin showed the new model to his s