CFA習(xí)題《職業(yè)道德》習(xí)題精煉：全球投資績(jī)效標(biāo)準(zhǔn)及訴訟程序規(guī)則

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來源: 正保會(huì)計(jì)網(wǎng)校編輯：某某 2020/09/08 09:29:13　字體：大小

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CFA習(xí)題一：全球投資績(jī)效標(biāo)準(zhǔn)

Which of the following is not included in the nine major provisions of the Global Investment Performance Standards (GIPS)?

A Input Data, Calculation Methodology, and Real Estate

B Fundamentals of Compliance, Composite Construction, and Disclosure

C Calculation Methodology, Composite Construction, and Alternative Assets

CFA習(xí)題二：CFA研究所有關(guān)專業(yè)行為的訴訟程序規(guī)則的兩項(xiàng)主要原則

Which of the following least likely reflects the two primary principles of the CFA Institute Rules of Procedure for Proceedings Related to Professional Conduct?

A Confidentiality of proceedings

B Public disclosure of disciplinary sanctions

C Fair process to the member and candidate

查看答案解析【習(xí)題一】

【答案】

【習(xí)題一】C

【解析】

C is correct because Alternative Assets is not among the nine major provisions or sections of the Global Investment Performance Standards, which include: Fundamentals of Compliance, Input Data, Calculation Methodology, Composite Construction, Disclosure, Presentation and Reporting, Real Estate, Private Equity, and Wrap Fee/Separately Managed Account (SMA) Portfolios.

A is incorrect because these are included in the nine major provisions of the GIPS.

B is incorrect because these are included in the nine major provisions of the GIPS.

查看答案解析【習(xí)題二】

【答案】

【習(xí)題二】（B）

【解析】

B is correct because the two principles of the Rules of Procedure for Proceedings Related to Professional Conduct are confidentiality of proceedings and fair process to the member and candidate. .

A is incorrect because the two principles of the Rules of Procedure for Proceedings Related to Professional Conduct are confidentiality of proceedings and fair process to the member and candidate.

C is incorrect because the two principles of the Rules of Procedure for Proceedings Related to Professional Conduct are confidentiality of proceedings and fair process to the member and candidate.

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