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11-20
11. According to the document, why is listening important in engagement?
a) It helps build relations with companies
b) It allows the engager to be most convincing in engagement actions
c) It helps understand and have constructive dialogue
d) All of the above
12. When should constructive engagement dialogue take place?
a) Privately without media attention
b) Publicly to encourage transparency
c) During annual general meetings
d) After media attention has been gained
13. What is an important consideration in engagement to avoid conflicts of interest?
a) Compliance with confidentiality obligations
b) Pooling resources with other investors
c) Direct interaction with companies outside of the engagement forum
d) Active management of conflicts of interest
14. What are some mechanisms recommended by the PRI for infrastructure investors to act as engaged owners?
a) ESG assessments during due diligence
b) ESG integration into asset management activities
c) Engagement with the management of the business
d) All of the above
15. Why is understanding a company’s culture important in engagement?
a) It helps identify the possible reasons for resistance to change
b) It fosters healthy competition between service providers
c) It aids in developing innovative services
d) It ensures compliance with confidentiality obligations
16. What is the benefit of using escalation techniques in engagement?
a) It allows for additional meetings with companies
b) It helps attract media attention to the engagement
c) It amplifies the impact of collective engagement
d) It enables voting at investor gatherings
17. What is the role of media attention in constructive engagement?
a) It fosters healthy competition between service providers
b) It allows for additional meetings with companies
c) It helps entrench positions rather than allowing fluidity
d) It should be avoided initially to allow for change to occur
18. What is the purpose of the collective engagement framework?
a) To seek control of public companies
b) To amplify the impact of engagement
c) To encourage media attention
d) To avoid conflicts of interest
19. How do institutions typically vote at AGMs and EGMs?
a) Proportionate to their percentage shareholding
b) A fixed number of votes per institution
c) Based on seniority among institutions
d) Proportional to the number of shareholders
20. What is the document’s stance on competition between service providers?
a) Competition should be encouraged to develop innovative services
b) Competition hinders the development of effective services
c) Collective activity is more important than competition
d) Synergies in engagement priorities should be explored
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