• (　　)属于董事会应当履行的合规管理职责。 A.制定并执行以风险为本的合规管理计划 B.通知业务机构停止其违法行为 C.提议召开临时股东会 D.决定解聘对发生重大合规风险负有主要责任或者领导责任的高级管理人员
• 监事会每年至少召开一次会议，监事会决议至少须经( )投票通过。 A.全体监事 B.半数以上监事 C.全体股东 D.半数以上股东
• 基金管理人监事会( )至少召开一次会议，监事会决议至少须经( )以上监事投票通过。 A.每半年；2/3 B.每年；1/2 C.每年；2/3 D.每半年；1/2
• ( )应当指导、督促公司妥善处理投资人的重大投诉，保护投资人的合法权益。 A.监事会 B.总经理 C.合规管理部门 D.督察长
• 存在特殊情况时，监事会有权代表公司的权利。以下选项不属于特殊情况的是(　　)。 A.当公司与董事间发生诉讼时，除法律另有规定外，由监事会代表公司作为诉讼一方处理有关法律事宜 B.当董事自己或他人与本公司有交涉时，由监事会代表公司与董事进行交涉 C.当监事调查公司业务及财务状况、审核账册报表时，有权代表公司委托律师、会计师或其他第三方人员协助调查 D.当股东对本公司有交涉时，由监事会代表公司与股东进行交涉
• 督察长应当定期或不定期向( )报告工作情况，并在董事会及董事会下设的相关专门委员会定期会议上报告基金及公司运作的合法合规情况及公司内部风险控制情况。 A.全体董事 B.全体监事 C.总经理 D.合规管理部门
• (　　)负责组织指导公司监察稽核工作，履行职责的范围应当涵盖基金及公司运作的所有业务环节。 A.督察长 B.管理层 C.合规管理部门 D.监事会
• 基金管理人在董事会和管理层会设立专门的风险控制委员会，公司(　　)负责合规管理工作。 A.督察长 B.总经理 C.股东 D.独立董事
• 组织指导公司监察稽核工作，履行职责的范围应当涵盖基金及公司运作的所有业务环节。上述职责应当由( )负责履行。 A.督察长 B.管理层 C.合规管理部门 D.监事会
• 督察长发现基金和公司运作中有违法违规行为的，应当及时予以制止，重大问题应当报告( )。 A.基金业协会 B.证券业协会 C.总经理 D.中国证监会及相关派出机构
• 关于督察长的合规责任，以下表述错误的是( )。 A.督察长享有充分的知情权 B.督察长应当定期或者不定期向全体董事报送工作报告 C.督察长经董事会和总经理批准后可以享有调查权，可以调阅公司相关文件、档案 D.督察长负责组织指导公司监察稽核工作
• 基金管理公司督察长履行职责的范围为( )。 A.公司运作的主要环节 B.基金及公司运作的所有业务环节 C.基金运作的主要环节 D.公司稽核部的人员设置及业务管理
• (　　)应当指导、督促公司妥善处理投资人的重大投诉，保护投资人的合法权益。 A.监事会 B.总经理 C.合规管理部门 D.督察长
• ( )应当对公司推出新产品、开展新业务的合法合规性问题提出意见。 A.督察长 B.董事会 C.股东会 D.总经理
• 督察长监督检查公司内部风险控制情况，应当重点关注下列哪些事项( )。Ⅰ.公司是否按照法律法规和中国证监会的规定制定和修改各项业务规章制度及业务操作流程。Ⅱ.公司是否对各项业务制定和实施相应的风险控制制度Ⅲ.公司员工是否严格有效执行公司规章制度。 A.Ⅰ.Ⅱ.Ⅲ B.Ⅰ.Ⅱ C.Ⅱ.Ⅲ D.Ⅰ.Ⅲ
• 基金管理人的管理层负责落实合规管理目标,对合规运营承担责任,履行合规管理职责是( )。Ⅰ.建立健全合规管理组织架构，遵守合规管理程序，配备充足、适当的合规管理人员，并提供必要、充分的人力、物力、财力、技术支持和保障。Ⅱ.发现违法违规行为及时报告、整改,落实责任追究Ⅲ.公司章程或者董事会确定的其他要求 A.Ⅰ.Ⅲ B.Ⅱ.Ⅲ C.Ⅰ.Ⅱ D.Ⅰ.Ⅱ.Ⅲ
• 在不违反法律、法规的前提下，公司必须保证给客户的所有建议和为客户进行的所有交易都是本着( )的原则。 A.客观合理 B.独立 C.客户利益第一 D.谨慎专业
• 公司员工违反忠实义务的行为不包括( )。 A.欺骗或欺诈任何公司现有或将来的客户 B.对重大事实作虚假陈述或隐瞒重要事实 C.对客户或将来的客户构成欺诈或欺骗的行为 D.代表客户履行职责的行为
• 基金公司、部门及员工不得参与的市场行为不包括( )。 A.通过单独或合谋包括集中资金优势、持股优势或者利用信息优势联合或者连续买卖，操纵证券市场价格 B.为客户提供风险评估及投资建议 C.以自己为交易对象，进行不转移所有权的自买自卖，影响证券交易价格或者证券成交量 D.为获取利益或减少损失，利用资金、信息等优势或滥用职权操纵市场，影响证券市场价格，制造证券市场假象
• 若发现重大的合规政策问题，管理层必须立即向( )汇报。 A.董事会 B.股东大会 C.合规与风险管理委员会 D.监事会
• 合规政策内容不包括( )。 A.合规管理部门的功能和职责 B.合规管理部门的权限 C.合规负责人的合规管理职责 D.管理层薪酬
• ( )负责贯彻执行合规政策。 A.各业务部门 B.合规与风险控制部 C.公司经理层 D.公司管理层
• ( )是基金管理人的内部合规管理活动，能把公司可能受到的处罚降到最低。 A.合规审核 B.合规检查 C.合规培训 D.合规投诉处理
• 基金管理人的合规审核程序不包括( )。 A.制定合规审核机制 B.确定合规审查人员 C.合规审核调查 D.合规审核评价
• 基金管理人合规部门的合规检查包括( )。Ⅰ.重大关联交易的执行情况Ⅱ.公司是否独立运作Ⅲ.基金公司投资决策的依据，以及公司的规定和投资决策流程是否有被突破Ⅳ.风险管理制度是否涵盖了不同风险控制环节Ⅴ.公平交易制度建设及执行情况? A.Ⅰ.Ⅱ.Ⅲ.Ⅳ.Ⅴ B.Ⅰ.Ⅱ.Ⅳ.Ⅴ C.Ⅰ.Ⅲ.Ⅳ.Ⅴ D.Ⅰ.Ⅱ.Ⅲ.Ⅳ
• 基金管理人进行合规培训的具体内容不包括( )。 A.与基金行业有关的法律法规 B.公司内部的员工守则和各项业务的合规制度 C.案例警示教育 D.先进事迹激励教育
• 投资合规性风险管理主要措施不包括( )。 A.建立有效的投资流程和投资授权制度 B.对宣传推介材料进行合规审核 C.重点监控投资组合投资中是否存在内幕交易、利益输送和不公平对待不同投资者等行为 D.每日跟踪评估投资比例、投资范围等合规性指标执行情况，确保投资组合投资的合规性指标符合法律法规和基金合同的规定
• 信息披露合规性风险管理主要措施包括( )。 A.建立信息披露风险责任制 B.对宣传推介材料进行合规审核 C.重点监控投资组合投资中是否存在内幕交易、利益输送和不公平对待不同投资者等行为 D.每日跟踪评估投资比例、投资范围等合规性指标执行情况，确保投资组合投资的合规性指标符合法律法规和基金合同的规定
• 基金管理人的( )是基金市场竞争的核心。 A.产品设计 B.投资管理 C.销售环节 D.风险控制
• 下列不属于合规风险主要种类的是( )。 A.投资合规性风险 B.信息披露合规性风险 C.反洗钱合规性风险 D.监管合规性风险
• 销售合规性风险管理主要措施不包括( )。 A.重点监控投资组合投资中是否存在内幕交易、利益输送和不公平对待不同投资者等行为 B.对销售协议的签订进行合规审核，对销售机构签约前进行审慎调查，严格选择合作的基金销售机构 C.制定适当的销售政策和监督措施，防范销售人员违法违规和违反职业操守 D.加强销售行为的规范和监督，防止延时交易、商业贿赂、误导、欺诈和不公平对待投资者等违法违规行为的发生
• 下列属于信息披露合规性风险管理主要措施的是( )。 A.建立符合行业特征的客户风险识别和可疑交易分析机制 B.重点监控投资组合投资中是否存在内幕交易、利益输送和不公平对待不同投资者等行为 C.信息披露前应经过必要的合规性审查。 D.以上都正确
• ( )是我国资本市场反洗钱的主要金融机构。 A.合规管理部门 B.基金管理人 C.董事会 D.公司管理层
• 下列关于反洗钱合规性风险管理措施，说法不正确的是( )。 A.建立收益导向的反洗钱防控体系，合理配置资源 B.从严监控客户核心资料信息修改、非交易过户和异户资金划转 C.严格遵守资金清算制度，对现金支付进行控制和监控 D.建立符合行业特征的客户风险识别和可疑交易分析机制
• 下列属于反洗钱合规性风险管理措施的是( )。 A.每日跟踪评估投资比例、投资范围等合规性指标执行情况 B.从严监控客户核心资料信息修改、非交易过户和异户资金划转 C.对交易异常行为进行定义，并通过事后评估对基金经理、交易员和其他人员的交易行为进行监控，加强对异常交易的跟踪、检测和分析 D.以上都正确
• (　　)是合规管理的关键性原则。 A.独立性原则 B.全面性原则 C.审慎性原则 D.连贯性原则
• 合规管理部门的独立性包含的要素有(　　)。Ⅰ．合规管理部门在公司内部享有正式的地位Ⅱ．有一名负责合规公司高管Ⅲ．合规风险管理部门员工的合规风险管理职责与其所承担的任何其他职责之间不存在的利益冲突Ⅳ．合规管理部门员工为履行职责，应能够获取和接触必需的信息和人员 A.Ⅰ B.Ⅰ、Ⅱ C.Ⅰ、Ⅱ、Ⅲ D.Ⅰ、Ⅱ、Ⅲ、Ⅳ
• 合规管理中，基金管理人应当遵守的相关规则不包括(　　)。 A.立法机关和证监会发布的基本法律规则 B.公司章程所制定的各种法规 C.公司章程以及企业的各种内部规章制度以及应当遵守的诚实、守信的职业道德 D.基金业协会和证券业协会等自律性组织制定的适用于全行业的规范、标准、惯例
• 下列关于合规管理的概念，说法有误的是(　　)。 A.合规管理是一种风险管理活动，是对业务活动是否遵守法律、监管规定、规则、行业自律准则等一种鉴证行为 B.合规管理中的“规”是指基金业协会和证券业协会等自律性组织制定的适用于全行业的规范、标准、惯例 C.合规风险是指因未能遵循法律法规、监管规定、规则、自律性组织制定的有关准则，以及适用于自身业务活动的行为准则而可能遭受法律制裁或监管处罚、重大财务损失或声誉损失的风险 D.所谓“合规”，与“违规”相对应，是指基金管理人的经营管理活动与法律、规则和准则一致
• 督察长应当定期或者不定期向(　　)报送工作报告，并在董事会及董事会下设的相关专门委员会定期会议上报告基金及公司运作的合法合规情况及公司内部风险控制情况。 A.全体董事 B.全体监事 C.总经理 D.合规管理部门
• 基金管理人监事会会议应当在全体监事出席时方可举行，每名监事有(　　)票表决权。 A.0 B.1 C.2 D.3
• 为保证公司在从事业务行为时能遵循较高的标准，基金管理人所有员工在从事业务活动时必须做到(　　)，并以最高水准要求自己。 A.公平交易 B.公开交易 C.公正交易 D.自愿交易
• 关于督察长的合规责任，以下表述错误的是(　　)。 A.督察长享有充分的知情权 B.督察长应当定期或者不定期向全体董事报送工作报告 C.督察长经董事会和总经理批准后可以享有调查权，可以调阅公司相关文件、档案 D.督察长负责组织指导公司监察稽核工作
• 督察长应当(　　)向全体董事报送工作报告。 A.每个月 B.每个季度 C.不定期 D.定期或不定期
• 基金管理人的合规管理对公司的决策系统、执行系统进行(　　)的合规监控。 A.全程、静态 B.全程、动态 C.重点、静态 D.重点、动态
• 基金管理人合规管理的具体内容不包括(　　)。 A.审核各业务部门对外签订的合同，控制风险，防范商业贿赂 B.保证合规负责人和合规管理部门独立性的各项措施 C.检查评估基金发行及日常运作中(销售、投资、运营)各项活动的合规性，防范运作风险 D.参与基金管理人的组织构架和业务流程再造、为新产品提供合规支持
• 下列关于基金管理人进行合规培训的具体内容，说法错误的是(　　)。 A.国家制定颁布的与基金行业有关的法律法规 B.公司内部的员工守则和各项业务的合规制度 C.案例警示教育 D.先进事迹激励教育
• 一般来说，基金管理人的合规审核不包括(　　)。 A.制定合规审核机制 B.确定合规审查人员 C.合规审核调查 D.合规审核评价
• 基金管理人信息披露合规性风险是指基金管理人在信息披露过程中，违反相关法律法规和公司规章，(　　)受到处罚和声誉损失的风险。 A.对基金投资者形成误导 B.对基金行业造成不良声誉 C.对资本市场造成系统风险 D.A和B
• 合规风险是指因公司及员工违规导致公司可能遭受(　　)的风险。 A.法律制裁 B.监管处罚 C.重大财务损失和声誉损失 D.以上都是
• 关于反洗钱合规性风险表述错误的是(　　)。 A.违反公平交易原则 B.违反相关法律法规 C.利用相同身份进行非法资金转移 D.违反公司内部规章
• 请选出下面划线部分读音不同的选项( ) A.no[t]ice B.prac[t]ice C.Bri[t]ish D.pa[t]ient
• 请选出下面划线部分读音不同的选项( ) A.in[c]ome B.[c]entre C.[c]ity D.bi[c]ycle
• 请选出下面划线部分读音不同的选项( ) A.cl[ou]d B.r[ou]nd C.m[ou]ntain D.c[ou]ntry
• 请选出下面划线部分读音不同的选项( ) A.[h]and B.[h]onest C.[h]abit D.be[h]ind
• 请选出下面划线部分读音不同的选项( ) A.dir[e]ct B.hot[e]l C.bask[e]t D.expr[e]ss
• My friend Bob always__________jokes whenever we get together. A.says B.speaks C.talks D.tells
• Before Tom got to the cinema,the film__________ A.had begun B.will begin C.has begun D.begins
• The driver kept one eye on__________traffic and the other on__________map. A.不填；a B.a；a C.the；the D.the；不填
• I couldn′t find my black gloves__________. A.nowhere B.somewhere C.everywhere D.anywhere
• Mary picked up her children′s clothes that__________on the floor. A.lie B.will lie C.have lain D.were lying
• Jane had already finished cooking__________the time I got home. A.in B.on C.by D.at
• Excuse me,where is the meeting room?--Just a second.I′ll have someone__________you there. A.takes B.take C.taking D.to take
• I′ll never forget the day__________I became a doctor. A.that B.which C.where D.when
• Your article is well written,but I think you should__________it again. A.go off B.go by C.go over D.go against
• There′s plenty of time,so you__________worry about it. A.needn't B.couldn't C.mustn't D.wouldn't
• My bedroom was very small,with the window__________the street. A.faces B.facing C.faced D.to face
• A few days ago I visited a friend of__________and that day I learned a valuable lesson. A.me B.mine C.my D.myself
• --Would you like to go to the theater with me tonight?__________,but I don′t think I can afford the time. A.That's nothing B.Well done C.I'd like to D.I'm afraid not
• Family members worked hard__________sure that they had enough food. A.making B.make C.made D.to make
• The light was so__________that I had to cover my eyes. A.bright B.weak C.soft D.natural
• 提示：Mary与Bill不期而遇，邀请他一起吃晚饭。但Bill当晚7点要去北京，下周一回来。Mary让Bill回来后给她打电话。第(51)题答案为
• 提示：Mary与Bill不期而遇，邀请他一起吃晚饭。但Bill当晚7点要去北京，下周一回来。Mary让Bill回来后给她打电话。第(52)题答案为
• 提示：Mary与Bill不期而遇，邀请他一起吃晚饭。但Bill当晚7点要去北京，下周一回来。Mary让Bill回来后给她打电话。第(53)题答案为
• 提示：Mary与Bill不期而遇，邀请他一起吃晚饭。但Bill当晚7点要去北京，下周一回来。Mary让Bill回来后给她打电话。第(54)题答案为
• 提示：Mary与Bill不期而遇，邀请他一起吃晚饭。但Bill当晚7点要去北京，下周一回来。Mary让Bill回来后给她打电话。第(55)题答案为
• 假设你要李华，写信给英国朋友Tim，问他是否愿意租房子给你的好友李明，并介绍他的情况，内容包括：1．品学兼优，将去伦敦某大学学习计算机；2．喜爱读书、看电影、听音乐，乐于助人，定能融洽相处；3．愿意提供更多信息。注意：1．词数应为100左右；2．生词：租房子rent a room。Dear Tim,Yours,LiHua
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• Eleanor Roosevelt was the wife of America′s 32nd president,Franklin Roosevelt.She helped her husband in?many ways during his long(21)life.She also became one of the most(22)women in America.She fought for?equal rights for all people.Eleanor was born in New York City in 1884.Her family had great weal...
• It′s that time of the yea—graduation.The end of school year is nearly in sight,and it′s an especially big deal if?you′re finishing high school or college.One amazing(令人惊叹的)16-year-old Florida girl,Grace Bush,graduated from both high school and college this week!She actually got her college diploma(毕...
• It′s that time of the yea—graduation.The end of school year is nearly in sight,and it′s an especially big deal if?you′re finishing high school or college.One amazing(令人惊叹的)16-year-old Florida girl,Grace Bush,graduated from both high school and college this week!She actually got her college diploma(毕...
• It′s that time of the yea—graduation.The end of school year is nearly in sight,and it′s an especially big deal if?you′re finishing high school or college.One amazing(令人惊叹的)16-year-old Florida girl,Grace Bush,graduated from both high school and college this week!She actually got her college diploma(毕...
• It′s that time of the yea—graduation.The end of school year is nearly in sight,and it′s an especially big deal if?you′re finishing high school or college.One amazing(令人惊叹的)16-year-old Florida girl,Grace Bush,graduated from both high school and college this week!She actually got her college diploma(毕...
• Ron was an engineer.He planned a change and tried the new job of teaching kids how to swim.Ron′s easy?manner soon made him a full-time employee at the swim school.Now,the 40 hours he works a week takes in weekends,early mornings and late afternoons.He earns around?25%less than he did in engineering....
• Ron was an engineer.He planned a change and tried the new job of teaching kids how to swim.Ron′s easy?manner soon made him a full-time employee at the swim school.Now,the 40 hours he works a week takes in weekends,early mornings and late afternoons.He earns around?25%less than he did in engineering....
• Ron was an engineer.He planned a change and tried the new job of teaching kids how to swim.Ron′s easy?manner soon made him a full-time employee at the swim school.Now,the 40 hours he works a week takes in weekends,early mornings and late afternoons.He earns around?25%less than he did in engineering....