开发者:上海品职教育科技有限公司 隐私政策详情

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刘海瑞 · 2023年06月22日

疑问

NO.PZ2016032802000033

问题如下:

Tony Brown, CFA, is the research director for Win Investment company. Recently he found some loopholes in his company's compliance system which affected its supervision and enforcement, and reflected this problem to the management. But he got no reply to solve this problem. Tony should most likely:

选项:

A.

write an email to company's management to reflect this problem again.

B.

write a letter of resignation immediately.

C.

decline to accept supervisory responsibility in writing until the company's compliance system is reasonable perfected.

解释:

C is correct.

Tony should reject to bear supervisory responsibility until the management perfects the company’s compliance system according to the Standard IV(C) Responsibilities of Supervisors. Because he has already found the problem and reflected it to the management.

tony本来就是监管,发现政策漏洞不是应该反映问题吗?为什么是拒绝接受职位?发现问题就必须辞职?申请调离岗位?decline不是减少的意思吗?

1 个答案

王暄_品职助教 · 2023年06月23日

协会给出得要求是,如果发现公司有漏洞,就不要接受监管得责任(不一定是离职,可以是转岗,只要不承担监管责任即可)

文中Tony已经反应了问题,但现在没有获得任何得回应,所以最合适得就是不要接受监管得责任