wangshuoyuan

就我一个人觉得简单么..................

greenturtle

回复 314# antel


then  the answer should be 0

dmy949

回复  jackchou


    65%就已经pass。话说我2级的时候成绩出来比我预期还低点，应该也就65%还是pass了，  ...
antel 发表于 2012-6-6 18:05

     這個的卻沒錯，大家一直在討論的都集中在那個alternative investment上，實際上也就18分（5%)而已。如果之前的Wealth mgt和institute做的好的，抵上這個好多。

不過話説回來，個人覺得CFAI出題目真的挺偏，institute按照past paper我以爲會挑兩個type來做，結果全部都是pension和linking pension L to A的問題。 Fixed income也是，明明好多東西考的，如contigent immunization, bond risk exposure, horizon reture什麽的，他就全放在MBS上。Derivative就全部都是option，連他自己最愛的swap都沒有。

greenturtle

回复 310# reonade


    1, analyst work at home.... 不违反
2, compliance manager: 违反没及时沟通
3, one analyst give low-risk, after research (medium risk), still give low-risk。 violate reasonable base?
4, proxy voting: 该disclose给潜在客户
5, restricted list: 不违反?
6,只给客户介绍高收益的bond fund, 违反suitability.
7, 离职了，开新公司，present以前的业绩，即使经过公司同意. 违反，完全不能present以前的业绩？

1.不违反，书上有
2.一样
3.一样
4.一样
5.选的应该disclose
6.我居然选了misrepresentation，汗啊
7.即使前雇主同意也是违反，她只manage了5年，而performance history有8年

becool

my ideas:
道德总结下:
1, analyst work at home.... 不违反
2, compliance manager: 违反没及时沟通 (forget the question?)
3, one analyst give low-risk, after research (medium risk), still give low-risk。 violate reasonable base?  (option or fact?)
4, proxy voting: 该disclose给潜在客户  The whole process is wrong, should not go with the will of companies
5, restricted list: 不违反? No.
6,只给客户介绍高收益的bond fund, 违反suitability. Same
7, 离职了，开新公司，present以前的业绩，即使经过公司同意. 违反，完全不能present以前的业绩？
。。。。。。

reonade

道德总结下:
1, analyst work at home.... 不违反
2, compliance manager: 违反没及时沟通
3, one analyst give low-risk, after research (medium risk), still give low-risk。 violate reasonable base?
4, proxy voting: 该disclose给潜在客户
5, restricted list: 不违反?
6,只给客户介绍高收益的bond fund, 违反suitability.
7, 离职了，开新公司，present以前的业绩，即使经过公司同意. 违反，完全不能present以前的业绩？
。。。。。。

becool

one RM introduces a financial product (which is top fund or something) to a client. but he didn't get any special payment for selling it.

One question: what is the violation if only sell this product? (suitbility , representation,...?)
The other question: Is there any violation during the process? (No, Yes, need disclores, ...?)

cliveltw

回复 305# reonade

   Q5是问什么呢？

becool

In the last question, part 2,  is "investment process" the correct answer?

By the way, In question 1, (PM) is that the referred fee should be disclosed?

BAIDUBAIDU

哪位能弄个稍微有条理点的讨论出来, 纠缠住1/2道题反复, 没什么价值. 对错CFA说了算. 看看以前的讨论, 很佩服那些记忆牛人