CFA协会ESG考试题库第五章模拟试题一

CFA协会ESG考试题库第五章 ESG题库习题集

Chapter 5 Governance Factors 模拟试题1-10

1. What is the main focus of corporate governance?

a) Alignment and accountability

b) Leadership and decision-making

c) Financial integrity and capital allocation

d) Reporting and transparency

2. What type of diversity is considered the most important for a successful board?

a) Gender diversity

b) Age diversity

c) Diversity of thought

d) Cultural diversity

3. According to the Corporate Governance Code in the UK, what are the five themes under which 18 principles are included?

a) Leadership, responsibility, composition, audit, and remuneration

b) Purpose, responsibilities, evaluation, risk, and transparency

c) Board leadership, division of responsibilities, composition, audit, and remuneration

d) Reporting, diversity, evaluation, risk, and transparency

4. In the case of executive pay, why do disputes arise between shareholders and companies?

a) Differences in mindset

b) Lack of performance accountability

c) Unfair contractual obligations

d) Excessive market performance

5. What kind of disclosures compare the CEO’s remuneration with that of an average-paid worker?

a) Climate change disclosures

b) Board skills disclosures

c) Pay ratio disclosures

d) Diversity disclosures

6. What are the characteristics of effective corporate governance?

a) Transparency, capital allocation, and business ethics

b) Accountability, decision-making, and financial integrity

c) Reporting, leadership, and diversity

d) Remuneration, risk management, and sustainability

7. What does the use of “comply or explain” mean in corporate governance frameworks?

a) Companies must comply with every standard without exception

b) Companies must explain their adherence to relevant standards

c) Companies have the choice to either comply or explain their non-compliance

d) Companies must explain why they do not comply with any standard

8. What role does the board of directors play in corporate governance?

a) Implementing financial integrity strategies

b) Representing the owners of the company

c) Ensuring minority shareholder alignment

d) Managing executive remuneration

9. Why is alignment important in corporate governance?

a) To ensure compliance with governance codes

b) To address the separation of ownership and control

c) To increase profitability and long-term prosperity

d) To encourage diversity and minority shareholder engagement

10. What issue might arise from the disconnect between executive pay and market performance of shares?

a) Lack of question and challenge in the boardroom

b) Increase in shareholder opposition to executive rewards

c) Development of fraudulent accounting practices

d) Failure to uncover significant financial losses

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