The first category: ordinary multiple-choice questions with the largest number of questions.

Examples The following constitute unfair competition behavior of fund management companies ().

A. In addition to the subscription fee charged to investors, the sales service fee for providing services to fund share holders is also accrued from the fund property.

B. Report to the CSRC that a fund management company presented high-grade mooncake coupons to the personnel of fund sales organizations.

C. A fund has multiple share categories, among which the share category sold exclusively to institutional customers does not charge any sales fees.

D the fund management company shall pay the customer maintenance fee to the fund sales organization, and the customer maintenance fee shall be charged from the fund management fee.

Reference answer: C.

Type 2: multiple choice questions. Interspersed in 100 questions, the number of questions is less than that of ordinary multiple-choice questions.

The compliance inspection contents of the compliance department of an example fund manager include ().

I. Implementation of Major Related Party Transactions

Ⅱ. Basis of investment decision of fund companies

Three. Whether the shareholders' meeting, the board of directors and the board of supervisors operate effectively.

Four. Abide by the principle of fair trade

A.Ⅰ、Ⅱ、Ⅲ、Ⅳ

B.Ⅰ、Ⅱ、Ⅳ

C.Ⅰ、Ⅲ、Ⅳ

D.Ⅱ、Ⅲ

Reference answer: b

Type 3: case analysis questions. Generally, there are 2 case analysis questions and 6 small questions.

Example According to the materials, answer the question 1-3: Investor Zhang You100,000 yuan is used for investment, and Xiao Wang, a salesperson of a fund sales organization, recommended four funds to Zhang: the first fund is Public Offering of Fund; The second fund is a public equity fund; The third fund is a private equity fund; The fourth fund is a private art fund.

1. Investor Zhang is a qualified investor recognized by the fund sales organization, with a risk tolerance of C5. Among the above funds, the fund that can be invested is ().

A. Fund I and Fund II

B. funds ii and iv

C. Fund I, Fund II, Fund III and Fund IV

D. funds iii and iv

Reference answer: D.

Reference analysis: C5 has high risk tolerance, so all four products are suitable for Zhang.

Source: Chapter 22, Section 4.

Zhang intends to invest in a securities investment fund. Among the above funds, () belongs to securities funds.

A. Fund I and Fund II

B. funds i, ii and iv

C. funds i, iii and iv

D. funds i, ii and iii

Reference answer: a

Reference analysis: Funds III and IV belong to alternative investments.

3. Zhang finally decided to contribute 10 1 10,000 yuan to subscribe for the fund, and the fund subscription fee was 1%, so the fund share obtained through subscription was ().

I. 1 10,000 copies

10205438+00,000 copies

999,900 copies

D, 10 1 ten thousand copies.

Reference answer: a

Reference analysis:101(1+1%) =1ten thousand copies.

The above is the content of the qualification examination for fund practice shared by Global Ivy League Bian Xiao. I hope it will help you. If you want to know more about the qualification examination of funds, you are welcome to pay attention to the global Ivy League schools in time, and Bian Xiao will provide you with information in time. Organize and release!