2025年CFA一级真题训练.docxVIP

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  • 2026-01-24 发布于山西
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2025年CFA一级真题训练

考试时间:______分钟总分:______分姓名:______

Section1:EthicsandProfessionalStandards

1.Ananalystisevaluatinginvestmentopportunitiesforaclient.Theclienthasprovidedtheanalystwithalistofpotentialinvestmentsthattheclientsfamilyhasalong-standingrelationshipwith.Theanalystisawarethattheseinvestmentsmaynotbeintheclientsbestinterestbutishesitanttochallengetheclientschoices.WhichofthefollowingactionsbytheanalystbestreflectstheCFAInstituteCodeandStandards?

a)Proceedwiththeanalysisasrequestedbytheclientwhiledocumentingthepotentialconflictsofinterest.

b)RefusetoanalyzetheinvestmentsuntiltheclientprovidesaclearmandatealigningwiththeCFAInstituteStandardsofProfessionalConduct.

c)Informtheclientaboutthepotentialbiasesinusingfamilyrelationshipstoguideinvestmentdecisionsandrecommendathird-partyexpertforasecondopinion.

d)Suggesttotheclientthatthelong-standingrelationshipswiththeinvestmentsmightindicatelowerrisk,thusjustifyingtheanalysiswithoutfurtherconsideration.

2.Aninvestmentmanagerisresponsibleformanagingaportfolioofequities.Theportfolioincludesseveralcompaniesthatareinvolvedinalegaldispute.Themanagerreceivesnewinformationindicatingthatthelegaldisputecouldsignificantlynegativelyimpactoneofthecompaniesintheportfolio.Themanagerdeterminesthatthisinformationismaterialandnotyetpubliclyavailable.WhichactionismostconsistentwiththeCFAInstituteStandardsofProfessionalConduct?

a)Disclosetheinformationtoaclosefriendwhoisconsideringinvestinginthecompany,asthefriendrequestedspecificinsights.

b)Usetheinformationtoadjusttheportfolioholdingstominimizepotentiallosses,withoutdisclosingthesourceoftheinformation.

c)Waitfortheinformationtobecomepublicbeforetakinganyaction,astimelydisclos

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