A, fund custodian B, fund custodian C, fund management company D, securities exchange market JS
2. The expiration of the fund is the termination of the fund. After the fund assets are verified, () according to the investor's investment ratio of 3yw.
Allocation example. $\Cr
A. Net assets of the fund B, total assets of the fund C, investment amount of the fund D and current assets of the fund 5
F, open-end funds
3, securities investment funds do not include (). kPxq
A, closed-end fund B, open-end fund C, venture capital fund D, bond fund E, stock D/
Fund ==k
4, according to the different investment objects, the classification of securities investment funds does not include (). Five [
A, stock fund B, national debt fund C, bond fund D, index fund I(n5
5, according to the characteristics of the securities investment fund operation does not include (). YRP(
A hedge fund b arbitrage fund c index fund d international fund s:(}[
6, according to the characteristics of the operation of securities investment funds does not include (). 1;
A. Growth Fund B, Income Fund C, Option Fund D, and Balance Fund. :ij
7, the first securities investment fund was born in (). 7Z 1 volt
A, USA B, UK C, Germany D, France =pg
8. () is the main index to measure the quality of fund operation, and it is also used to calculate the transaction price of fund units according to qs8.
According to. Pt*Q)。
A, fund size b, fund rate of return c, fund net asset value d, fund redemption rate | d &；; m
9. The sponsor of the securities investment fund cannot be (). Q 1]I^=
A trust and investment company b, securities company c, insurance company d and fund management company Zhu
10. The paid-in capital of each fund sponsor is not less than (). T: KTz
A, 200 million yuan b, 300 million yuan c, 400 million yuan d, 65.438+0 billion yuan > 3u{
1 1. The sponsor of a fund management company can be (). _X
A insurance company b, securities company c, commercial bank d and financial consulting company LABpt.
12. The minimum paid-in capital of the fund management company to be established is (). 6)V & amp； v
A,100000 yuan b,150000 yuan c, 20 million yuan d, 30 million yuan v.n.
13. The paid-in capital of the promoters of the fund management company shall not be less than (). ; .5
A, 1 100 million yuan b, 200 million yuan c, 300 million yuan d, 400 million yuan? cerium (Ce)
14. The retention period of fund accounting books, statements and records is (). ` QvS:
A,/kloc-more than 0/0 years b, more than 20 years c,/kloc-more than 0/5 years d, more than 5 years &; HLg & amp
15. The corporate governance structure of fund management companies does not include (). f9jk+
A, board of directors b, board of supervisors c, shareholders' meeting d, consumers {qK!
16. The number of independent directors of a fund management company shall not be less than (). -
A, 2 people B, 3 people C, 4 people D, 5 people P-
17. The number of independent directors of a fund management company shall not be less than (). )=}5_G
a、 1/4 B、 1/3 C、 1/2 D、 1/5； {h%4
18, China's closed-end funds are not allowed to issue at the following prices (). axNla
A, premium issue b, at discount c, fair price issue d, par value issue, |%J
19. According to China's regulations, the duration of closed-end funds shall not be less than () years, and the minimum raised amount shall not be less than m = s.
Less than () 1 100 million yuan: u
a、 10，5 B、5 10 C、52d、 10， 10；
20. China's closed-end fund issuance period is (). ^
A, 4 months b, 2 months c, 3 months d, 1 month' #J
2 1. The funds raised by closed-end funds in China can only become O if they exceed the scale approved by the fund during the issuance period.
Li: dua0= 1
a、70% B、80% C、90% D、60% @
22, open-end fund sales organization does not include (). QS
A, commercial bank b, insurance company c, securities company d, guarantee company *^hiS
23. Fund changes do not include (). W6lr^~
A. Closed-end funds are converted into open-end funds B. Closed-end funds are liquidated C. Closed-end funds raise fBry.
D. closed-end fund renewal X < h0
24. According to the Interim Measures for the Administration of Securities Investment Funds, the fund holds shares of a listed company, not I2\~
Have to exceed the fund's net asset value (). 0
a、 10% B、20% C、30% D、 15%； Udaan
25. The fund clearing account books and related vouchers are kept by (). four
A. Fund custodian B, fund promoter C, fund manager D, and fund liquidation team AQX &；;
26. In China, fund sponsors do not include (). MEV
A securities company b, trust and investment company c, fund management company d and financial consulting company rv6.
27. In China, the paid-in capital of fund promoters is not less than (). York
A, 200 million RMB b, 300 million RMB c, 400 million RMB d, 65.438+0 billion RMB? w
28, the guiding principles of securities investment management does not include (). " o6)
A, compliance principle b, honesty principle c, rationality principle d, investment diversification u.
Principle 5
29, the operation process of securities investment management does not include (). 7 - %'
A, determine the investment target b, information management c, asset allocation d, investment choice e, wind |+(L
Risk management 6)
30, financial products traded in the money market does not include (). U7(bE
A. Short-term treasury bonds B, corporate bonds C, large negotiable certificates of deposit D and repurchase agreements |; G
3 1, financial products traded in the capital market do not include (). *3
A, stock b, bond c, fund securities d, commercial paper ($d 1K
32, financial futures market trading products include (). Aj@U？
A, interest rate futures b, soybean futures c, mung bean futures d, forward contract ]`AONt
33, the transaction cost of securities investment does not include (). s
A, fixed cost b, variable cost c, labor cost d, bid-ask spread | +`)
34, the transaction cost of securities investment includes (). & gt weike
A. execution cost b, information cost c, scientific research cost d, and labor cost t.
35. The execution cost of securities investment includes (). {-n \
A, opportunity cost b, market impact cost c, risk cost d of holding inventory, bid-ask spread 8
36, the method of estimating the fair market price does not include (). M[
A. Pre-transaction price benchmark B. Post-transaction price benchmark C, average price benchmark D and execution price benchmark G*{xk
Quasi x%i
37. The investment method of the asset manager does not include (). . %
A, long-term and short-term b, dynamic and static c, active and passive d, system decision-making and non-system 1
Decision g:
38, the calculation method of portfolio yield does not include (). View /L
A, arithmetic average method b, time weighted method c, net cash flow weighted method d, moving average method q * I.
39, risk measurement index does not include (). 9 _ & lth
A, standard deviation b, beta value c, alpha value d and determination coefficient t'
40, investment performance risk adjustment method does not include (). ~ 1@
A, sharp ratio b, Zhan Sen index c, boddy ratio d, treynor ratio {86_|c
4 1, the common performance evaluation benchmark does not include (). 5U+ ft
A, market index B, common style index C, standardized portfolio D, Zhan Sen index 5_|Fi "
42, the source of portfolio excess returns is (). & amp6*[Cd
A, strategic asset allocation B, stock selection ability C, asset mixing efficiency D, asset category income `tp1/q
43, portfolio performance attribution model does not include (). g 1w
A, asset mixing efficiency B, asset risk management C, asset category efficiency D, asset allocation efficiency \7hE~4
44. Assume that the return rate of the portfolio is 20%, the risk-free return rate is 8%, and the variance of the portfolio is 9%.
If the tower value is 12%, then the Sharp ratio of this portfolio is equal to (). p5k
a、0.4 B、 1.00 C、0.6 D、0.2 BQ-J@w
45. The paid-in capital of the fund custodian shall not be less than (). ed & gt，P
A, 6 billion yuan b, 7 billion yuan c, 8 billion yuan d, 9 billion yuan 0E'
46. The fund account books, accounting statements and records are kept by (): _PGl.
A. fund holder b, fund promoter c, fund manager d and fund custodian QNA.
47, the subscription rate of open-end funds shall not exceed the subscription amount (). q*U
a、2% B、3% C、4% D、5% U8L
48, the redemption rate of open-end funds shall not exceed the redemption amount (). ]& amp； t
A, 2% B, 3% C, 4% D, 5% @ hardware
49. Huge redemption means that the net redemption application of the fund exceeds the total share of the fund (). qn/fy
a、 10% B、9% C、8% D、7% vXcfEz
50, assuming that a fund has total assets of 3.5 billion yuan, total liabilities of 500 million yuan and total fund shares of 3 billion, then S; ; Azeri
The net value of the fund unit is (). A
A, 1 yuan/share b, 1. 167 yuan/share c, 65438+33 million/share d, 1.2 yuan/share \
5 1. The subscription price of open-end funds cannot be (). Y0> veal yeast
A. Net value of fund unit b, net value of fund unit minus transaction cost c, net value of fund unit minus redemption fee d and c..
Net value of fund unit plus transaction fee B]
52. Suppose that the number of three kinds of stocks held by a fund on a certain day is 6,543,800,000 shares, 5,000,000 shares and 6,543,800,000 shares i{@KVQ}.
Shares, the closing price of each share is 30 yuan, 20 yuan, 10 yuan, and the bank deposit is1000000 yuan, which is the custodian or S.
The manager should pay 50 million yuan in remuneration, 50 million yuan in taxes and fees, and 200 million yuan in fund units. Please deliver it to ve.
Using general accounting principles, calculate the net value of fund units as (). & amp7 12F
A, 1.09 yuan b, 1.53 yuan c, 1. 15 yuan d, 1.35 yuan "a! z
53, non-financial institutions as legal persons should pay taxes on trading funds, including (). ):
A. business tax b, stamp duty c, corporate income tax d and personal income tax AI
54, which of the following risks can be dispersed by portfolio investment (). GuidedWeapon
A. Interest rate risk B. Inflation risk C. Market risk D. Default risk: J.
55, China's securities investment fund is based on () and organized institutional investment behavior. SH9~D
A, principal-agent principle b, agency principle c, contract principle d, agreed principle [
56. The holder of a corporate fund is the fund company (). [.
A creditor b, beneficiary c, principal d, shareholder m,
57, the securities investment fund custodian is the representative of the () rights and interests. & lt
A. fund supervisor b, fund holder c, fund promoter d and fund manager w&; Y0 "
58, contract fund is based on () and organized institutional investment behavior. w
A, principle of entrustment b, principle of agency c, principle of contract d, principle of convention 1H\
59. The contractual fund holder is actually (). `
A. operator b, supervisor c, beneficiary d and trustee% {
60. Directors who do not hold specific management positions in the company should arrive at the company site to perform their duties on time every year.
Not less than (). ]= d { & lt；
A, 7 days b, 10 days c, 7 working days d, 10 working days s 18=0A
6 1. According to the trust law of People's Republic of China (PRC), the trustee shall pay the trust 0zD (
Interests and obligations. mn]
A. Trust property B, self-owned assets C, limit D agreed in the trust contract, registered capital-
62, the theoretical basis of passive stock investment strategy is (). w+y[^<；
A, market efficiency theory b, market inefficiency theory b, arbitrage pricing theory d, capital asset pricing theory vWZ'
63, the inter-bank bond market trading products do not include (). 7\
A, national debt b, financial debt c, national debt repurchase d, commercial paper cT
64, the relationship between bond yield and market interest rate is (). 1Es
A, same direction b, irrelevant c, reverse direction d, indefinite relation -LkZ 1
65, China's private equity fund is organized by (). . L- USD
A. Trust Law B. Securities Law C. There is no legal basis at present D. Company Law YaO8
66. The assets entrusted to a single social security fund investment manager shall not exceed the annual social security fund entrusted funds Nh \
Accounting for () of GDP. DUJ9Z)
a、 10% B、 15% C、20% D、25% E、30% pz=
67, in our country, the fund custodian can be (). 4v8l9
A insurance company b securities company c trust and investment company d and commercial bank %mA.
68, the main documents of the establishment of the fund does not include (). lw
A. Application Report B, Sponsor Agreement C, Fund Articles of Association D and Custody Agreement E Prospectus Y.
69. The minimum duration of a contractual fund is (). A question
A, 5 years b, 10C, 8 years d, 15L \/|
70. When the asset manager who adopts an active investment strategy predicts the market rise (). Y } & ampD
A, increase β coefficient b, decrease β coefficient c, keep β coefficient unchanged d, and be uncertain about IVNW.
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