注册金融分析师-注册金融分析师一级模拟4.docx

文档介绍：e,CFAZacitizenofGermany,,efsconductwhenheisconductingbusinessintheothercountry?,theothercountry1sorAIMR'•^,thebrokeragefirmrecentlybeganallowingtheanalysttotapintothefirm':disclosestherelationshiptotheclient•、 Roy,CFA,ountsanddirectsmostofhistradesthroughtheWalesInvestmentLimited-,asmalldiscountbrokeragehouse,hasjustapproachedRoythatitwillexecutehistradesathalfthecostofWales-Regionaldoesnothavearesearchdepartment•AccordingtoAIMRStandardsofProfessionalConduct,ifWalesdoesNOTswitchhisbusinesstoRegional,hasheviolatedtheloyaltyclauseinhisfiduciaryduties?No,becausehealreadyhadanestab丄ishedrelationshipwithWalesbeforeRegional1soffer•No,ifhecandetermine,ingoodfaith,mensuratewiththevalueoftheresearchserviceshereceivesanddisclosesthispractice•Yes,、 AllofthefollowingviolateStandardIC•,Misrepresentation,EXCEPT:•presentingfactualinformationpublishedbyrecognizedstatisticalreportingserviceswithoutacknowledgment•usingexcerptsfromreportspreparedbyotherswithminorwordchangeswithoutacknowledgment•5^ZhongYiXie,CFA,aportfoliomanagerforPIAInvestments,,henotifieshisemplo