CFA试题20260613

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Which of the following situations most likely helps to explain why the GIPS standards were created?

Which of the following should a GIPS-compliant firm most likely provide to each prospective client?

Yip Wai Yin, a CFA candidate, is an independent mutual fund sales agent. For every front-end load product she promotes, Yip receives a portion of the front-end fee as commission at the time of sale. For every back-end load fund she sells, Yip receives a smaller commission paid at the end of the year. Yip always informs her clients that she is paid a commission as an agent, but does not provide details of the compensation structure. When pitching her favored front-end load product line she tells clients 20% of her commission is always invested in the same fund as proof of her confidence in the fund she recommends. Which Standard does Yip least likely violate?

Umi Grabbo, CFA, is a highly regarded portfolio manager for Atlantic Advisors, a mid-sized mutual fund firm investing in domestic securities. She has watched the hedge fund boom and on numerous occasions suggested that her firm create such a fund. Senior management has refused to commit resources to hedge funds. Attracted by potential higher fees associated with hedge funds, Grabbo and several other employees begin development of their own hedge fund to invest in international securities. Grabbo and her colleagues are careful to work on the fund development only on their own time. Because Atlantic management thinks hedge funds are a fad, she does not inform her supervisor about the hedge fund creation. According to the Standards of Practice Handbook, Grabbo should most likely address which of the Standards immediately?

Holly Baker, CFA is explaining CFA Institute Code of Ethics to a client. Which of the following statements could Baker make to most likely reflect disciplinary sanctions the CFA Institute may impose? Sanctions include:

Lawrence Hall, CFA, and Nancy Bishop, CFA, began a joint research report on Stamper Corporation. Bishop visited Stamper’s corporate headquarters for several days and met with all company officers. Prior to the completion of the report, Bishop was reassigned to another project. Hall utilized his and Bishop’s research to write the report but did not include Bishop’s name on the report because he did not agree with and changed Bishop’s conclusion included in the final report. According to the CFA Institute Standards of Practice Handbook, did Hall most likely violate any CFA Institute Standards of Professional Conduct?

In the absence of regulatory guidance, CFA Institute recommends that members maintain their investment research records for at least:

According to the GIPS standards, a verification report confirms all of the following except whether:

The term Big Data refers to:

The bootstrap resampling method:

An analyst runs a simple linear regression using 35 months of data to assess a country's short-term interest rate as a function of its inflation rate, with the following results:

（含图）
Critical t-values for a 1% level of significance: One-sided, left side: −2.445
One-sided, right side: +2.445
Two-sided: ±2.733
At a 99% confidence level, the analyst should reject the null hypothesis that:

A positively skewed unimodal distribution of returns most likely has:

The third quintile corresponds to the:

An analyst gathers the following data about an economy:

（含图）
If monetary policy is expansionary, the central bank's inflation target is:

A sign of expansionary fiscal policy is a(n):

The redistribution of income and wealth is most directly associated with:

If the average weekly hours worked in manufacturing decrease and unit labor costs remain the same, this most likely indicates future economic:

An analyst gathers the following financial market information:

（含图）
EUR/USD is the amount of EUR per 1 USD.
The 180-day EUR/USD forward exchange rate is closest to:

Which of the following is most likely to signal manipulation of financial reporting for a large, diversified company?

Which category of financial ratios is most likely used to measure how efficiently a company performs day-to-day tasks?

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