广东金融英语考试模拟卷（6）新版.docVIP

广东金融英语考试模拟卷（6） 本卷共分为1大题50小题，作答时间为180分钟，总分100分，60分及格。 严格遵守考试纪律，维护考试秩序！ 一、单项选择题（共50题，每题2分。每题的备选项中，只有一个最符合题意） 1.With respect to the CFA Institute Code of Ethics and Standards of Professional Conduct, which of the following is least likely to prompt an inquiry by the CFA Institute Professional Conduct Program A. Written complaints received by Professional Conduct staffs.B. A violation report submitted by CFA examination proctors.C. Internal investigations of members conducted by local CFA societies. 参考答案：C[解析] 有4种情况会引起CFA协会对于会员或考生的行为进行调查：(1)自己披露(每年有专业操守声明)；(2)其他人向CFA协会举报；(3)公开媒体披露；(4)考试违反规则并被报告。会员的行为受到当地CFA分会的内部调查并不属于上述4种的情况。 2.Wu Yang, CFA, manages individual portfolios for Far East Trust Company. Hu Haiyun, a client, proposes to Wu Yang, Any year my portfolio achieves at least a 20 percent return before taxes, you and your family can fly to Sanya in Hainan Province in China at my expense and use my condominium during the Spring Festival in February. While Wu Yang does not inform his employer of the arrangement, he watches Hu Haiyuns portfolio performance intensively throughout the year and makes sure her account gets top priority for any partially executed block trade order. Hu Haiyuns portfolio return exceeds the 20 percent target for the year, and Wu Yang vacations in Sanya during the following February as Hu Haiyuns guest. According to the Standards of Professional Conduct, Wu Yang has least likely violated the CFA Institute Standards relating to: A. fair dealing.B. disclosure of conflicts.C. priority of transactions. 参考答案：C[解析] Wu Yang没有披露给雇主他将会得到来自客户的礼物，违反了利益冲突的披露条款。 同时，Wu Yang确信Hu Haiyun的账户在部分执行的大宗交易中获得了最优的待遇，违反了公平对待的条款。在该题中，Wu Yang本人或者他的利益人并没有参与任何的交易行为，所有没有违反优先交易权条款。 3. With respect to the Global Investments Performance Standards (), which of the following statements is least accurate Verification:（） A. ensure the accuracy of composite presentations.B. improve the consistency and quality of the firms compliance presentations.C. provide improved interna