2016年mock带视频讲解v1_2016年6月_level_1_mock113_模考一题目.docxVIP

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2016年mock带视频讲解v1_2016年6月_level_1_mock113_模考一题目.docx

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CFA level1-Mock-113Questions 1~18 Relate to Ethics 2Questions 19~32 Relate to CFA level1-Mock-113 Questions 1~18 Relate to Ethics 2 Questions 19~32 Relate to Quantitative analysis 9 Questions 33~44 Relate to Economics 14 Questions 45~68 Relate to Financial Statement Analysis 18 Questions 69~76 Relate to Corporate finance 26 Questions 77~88 Relate to Equity investment 28 Questions 89~94 Relate to Derivatives 31 Questions 95~106 Relate to Fixed-income Analysis 33 Questions 107~110 Relate to A rnative Investments 36 Questions 111 ~120 Relate to Portfolio Management 37 1/39 CFA level1-Mock-113MOCK EXAM 113Questions 1~18 Relate to Ethics1.Alexander Newton, CFA, is the chief compliance officer for Mills Investment Limited.Newton institutes a new policy requiring the CFA level1-Mock-113 MOCK EXAM 113 Questions 1~18 Relate to Ethics 1. Alexander Newton, CFA, is the chief compliance officer for Mills Investment Limited. Newton institutes a new policy requiring the pro rata distribution of new security issues to all established discretionary accounts for which the new issues are ropriate. The policy also provides for the exclusion of newly established discretionary accounts from the distribution until they have reached their one-month anniversary date. This policy is disclosed to all existing and potential s. Did Newton most likely violate any CFA Institute Standards of Professional Conduct? A. No, because the policy has been adequately disclosed to all existing and potential s B. No, because the allocation policy is not inequitable under the standards C. Yes 2. Ian OSullivan, CFA, is the owner and sole employee of two companies, a public relations firm and a financial research firm. The public relations firm entered into a contract with Mallory Enterprises to provide public relations services, with OSullivan receiving 40,000 shares of Mallory stock in payment for his services. Over the next 10 days, the public relations firm issued several press releases that discussed Mallo