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ciaoyy · 2018年03月22日

问一道题:NO.PZ2016032801000006 [ CFA I ]

问题如下图:

    

选项:

A.

B.

C.

解释:


A错在哪里呢?code and standard不是只适用于member以及candidate吗?

2 个答案
已采纳答案

韩韩_品职助教 · 2018年03月28日

同学你好,这个理解是稍有偏误。即使他的下属不是CFA的会员或者候选人,但是M作为CFA会员,也需要履行他作为管理者的职能。

这句话的意思,更加偏重于说委任给了一个不是CFA会员的人,那么对这个人,M有没有监管责任,而不是说被委托的人,他们用不用遵守CFA准则。还是在监管者的角度来问的。

韩韩_品职助教 · 2018年03月27日

同学你好,这道题里面我们研究的主体是M这个人,他是一个部门的领导,也是CFA会员,他可以将一部分责任委托给底下的员工进行管理。这个题是在问,当他把一部分责任委托给下属的时候,他自己是否还承担监管的责任。按照CFA准则的说法,不管是否委任下属,上司对所有人的监管责任还是在的。

A错在说M对被委任的下属就没有监管责任了。

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