CFA协会ESG考试题库第六章 ESG题库习题集
Chapter 6 Engagement and Stewardship 模拟试题1-10
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1. What was the main driver for the increased interest in stewardship after the financial crisis?
a) Investor demands for better corporate governance
b) The disappointment caused by the crisis
c) Regulatory pressure on institutional investors
d) The need to restore investor confidence
2. How did the UK Stewardship Code change in 2020?
a) It introduced 12 principles instead of 7
b) It no longer requires annual reporting
c) It focused solely on engagement with service providers
d) It reduced the number of pages in the document
3. What is the controversy surrounding collective engagement?
a) Concerns about the creation of concert parties
b) Lack of coordination among investors
c) Excessive influence by individual shareholders
d) Ineffectiveness in driving change at companies
4. Which asset class has seen the most development in terms of stewardship?
a) Public equities
b) Private equity
c) Fixed income
d) Real estate
5. How did the FRC assess the quality of UK Code signatories in 2016?
a) Based on the substance of their engagement activities
b) Based on the financial performance of their portfolios
c) Based on the quality of stewardship statements
d) Based on their compliance with regulatory requirements
6. According to a recent study, what impact does ESG engagement have on downside risk?
a) It leads to an increase in downside risk
b) It has no impact on downside risk
c) It leads to a reduction in downside risk
7. What are the key components of engagement in investment?
a) Voting and engagement in corporate governance matters
b) Incorporating ESG issues into ownership policies
c) Purposeful dialogue with companies to improve practices
d) All of the above
8. According to the document, what does successful engagement result in?
a) Positive financial returns
b) Improved management of ESG issues
c) Better corporate governance practices
d) All of the above
9. What are some challenges in working as part of investor coalitions?
a) Reaching agreement on the nature of the problem
b) Conflicts of interest among investors
c) Lack of competition among investors
d) All of the above
10. What are the two forms of necessary prioritization in engagement?
a) Identifying the most engaged company and prioritizing engagement issues
b) Determining the company most in need of engagement and prioritizing issues
c) Identifying the company most at risk and prioritizing issues
d) All of the above
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