2026年 CFA 一级道德与风险管理实务试卷含解析.docxVIP

2026年CFA一级道德与风险管理实务试卷含解析

考试时间：______分钟总分：______分姓名：______

一、道德与专业标准

1.AnanalystiscurrentlycoveringCompanyX.Theanalystsspouseowns500sharesofCompanyX.TheanalystisconsideringrecommendingCompanyXstocktoaclient.WhichofthefollowingactionsismostappropriateaccordingtotheCFAInstituteCodeandStandards?

a.RecommendCompanyXstocktotheclientonlyiftherecommendationisintheclientsbestinterest.

b.RecommendCompanyXstocktotheclientafterdisclosingthespousesownershiptothefirmscompliancedepartment.

c.Recuseherselff