2020 Fund Practitioner Qualification Examination Fund Laws and Regulations, Professional Ethics and Business Norms: 1,000 Must-Do Questions (Including Past Exam Questions) [Including Mock Tests and Detailed Explanations]

Shengcai E-book (Beijing) Co., Ltd.Oct 2022

Rating 2.8

Word count: 249K words
Chapters: 19

Summary

This book is a practice-question collection for the Fund Practitioner Qualification Exam subject Fund Laws and Regulations, Professional Ethics and Business Norms. Part One is chapter practice, arranged according to the latest exam syllabus and the chapter structure of the Securities Investment Funds (Second Edition) textbook, in 13 chapters, with about 1,000 carefully written questions including past computer-based exam questions. The selected questions broadly cover the knowledge required by the syllabus, emphasize frequently tested key and difficult points, and provide detailed analysis and answers for most questions. Part Two is mock exams, with two papers compiled from frequently tested key points. Every question has an answer and detailed explanation, helping readers gauge exam difficulty, grasp key points, and test review results.

Editor's review

This question collection closely follows the Fund Practitioner Qualification Exam syllabus and the Securities Investment Funds (Second Edition) textbook. It contains about 1,000 questions in 13 chapters and includes past computer-based exam questions, with sufficient volume and coverage of frequently tested key and difficult points. Its main strength is detailed explanation: most questions include analysis, so readers can not only check answers but also understand the logic behind regulatory provisions and common pitfalls. The two mock exams are useful for pre-exam self-testing and pacing. The book promotes learning through practice and is suitable for the consolidation stage after reading the textbook, especially for candidates who need to become familiar with computer-based question types and fill gaps. It is best used alongside the textbook and the latest regulations; when explanations refer to specific provisions, readers can check the original text, forming a cycle of practice, correction, and return to knowledge points to improve efficiency.

Who it's for

A good fit for

Candidates preparing for the Fund Practitioner Qualification Exam who need extensive practice to consolidate regulatory knowledge
Candidates who have read the textbook and want to test their mastery with past and mock questions
Exam candidates who want to become familiar with computer-based question types and frequently tested key and difficult points and improve answering speed

Not a good fit for

Beginners with no exposure to fund laws and regulations who need to study the textbook systematically first
General readers who are not taking the Fund Practitioner Exam and only want to understand general knowledge of the fund industry

Reading tips

Read the corresponding textbook chapter first, then complete the chapter questions; immediately check explanations and mark wrong answers.
On the second pass, focus on redoing wrong answers, check the textbook or original regulations, and understand why each option is right or wrong.
Before the exam, take the two mock exams under timed conditions at exam pace, then practice weak chapters.

版权信息
内容简介
第一篇章节精练
第一章金融市场、资产管理与投资基金
第二章证券投资基金概述
第三章基金的类型
第四章证券投资基金的监管
第五章基金职业道德
第六章基金的募集、交易与登记
第七章基金的信息披露
第八章基金客户和销售机构
第九章基金销售行为规范及信息管理
第十章基金客户服务
第十一章基金管理人公司治理和风险管理
第十二章基金管理人的内部控制
第十三章基金管理人的合规管理
第二篇模拟试题及详解
基金从业资格考试《基金法律法规、职业道德与业务规范》模拟试题及详解（一）
基金从业资格考试《基金法律法规、职业道德与业务规范》模拟试题及详解（二）

FAQ

Can this book be used without the textbook?

Not really recommended. This is a question book; the questions follow the textbook's chapter structure, and although explanations are detailed, they focus on solving questions and lack systematic knowledge instruction. Beginners who do questions directly may only memorize answers without understanding regulatory logic. It is best to read the relevant chapters of Securities Investment Funds (Second Edition) first, then use this book for consolidation and testing.

Do I need to memorize all the questions and explanations?

No need to memorize mechanically. Focus on understanding the tested points and regulatory basis, especially the knowledge behind wrong answers. Understand the corresponding textbook content and remember the reasoning for judgments rather than reciting answers word for word, so you can handle variant questions.

How should the two mock exams be used?

Save them for the later review stage and complete them under timed conditions matching the exam duration and number of questions to simulate the real pace. After finishing, check every explanation, count errors by chapter, and use that to plan the final round of targeted review rather than doing them casually in advance.

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About the author

Shengcai E-book (Beijing) Co., Ltd. Author

Shengcai E-book (full name: Shengcai E-book (Beijing) Co., Ltd.) is not an individual author but an organization whose main focus is exam preparation and the development of learning resources. Its works are mostly built around classic textbooks and take the form of organized notes, answers to end-of-chapter exercises, and detailed explanations of past postgraduate entrance exam questions. The format is consistent and the explanations are thorough, serving the review needs of exam candidates. The library contains more than 2,500 of its titles, commonly classified under exams and inspirational growth, with representative works covering economics, fundamentals of mechanical design, psychology, and English-major postgraduate exams. Public information about its founder, team composition, and specific development history is limited, so no speculation is made here.