單項選擇題一家投資公司新雇傭的初級分析員剛剛購買了豪華轎車并加入了市中心的高級俱樂部。該分析師的主管通過同事的投訴而對此進行調(diào)查,并發(fā)現(xiàn)在公司將某些股票列入購買建議之前,他已先購買來了多種。該公司的調(diào)研受很多投資者的尊重并且有眾多的追隨者。當(dāng)買進的建議公布之后,股票的走勢在頭5天的表現(xiàn)非常突出。該分析師違反了“守則”和“準(zhǔn)則”中的哪一個條款()。

A.重大未公開消息(是)、交易的優(yōu)先權(quán)(否)
B.重大未公開消息(否)、交易的優(yōu)先權(quán)(是)
C.重大未公開消息(是)、交易的優(yōu)先權(quán)(是)


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1.單項選擇題一位基金經(jīng)理在向其客戶配置熱門新股時,優(yōu)先于其哥哥的賬戶。在她哥哥的賬戶中她并沒有受益權(quán)。該經(jīng)理是否違反了職業(yè)行為準(zhǔn)則()。

A.否。
B.是。因為同時管理其他客戶的賬戶和家庭成員的賬戶存在利益沖突。
C.是。同管理其他客戶的賬戶一樣,她對其哥哥的賬戶也有信托責(zé)任。

4.單項選擇題企業(yè)與企業(yè)之間的信用是()。

A、商業(yè)信用
B、銀行信用
C、消費信用

5.單項選擇題通貨膨脹引起的物價上漲是()。

A、個別商品的物價上漲
B、短期性物價上漲
C、一般物價水平持續(xù)普遍上漲

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