问题如下图:
选项:
A.
B.
C.
解释:
没看懂这道题 对应哪个考点发亮_品职助教 · 2018年06月05日
同学你好。
这道题是在讲:如果合规负责人Supervisor将自己监管的工作职责交给别人代为执行时,
他的responsibility。
对应的考点是:Standard IV(C) Responsibilities of Supervisors
如下图红框:
Candidate,member是可以将监管职责交给别人代为执行的,但是他仍有监管的责任。
也就是说,如果由于监管的疏忽,有员工违反了法律;虽然监管职责是代由别人执行的,但是他仍要负责,在这种情况下,他还是违反了Standard IV(C).
答案C选项表达的意思就下图红框内的:
NO.PZ2016032801000006问题如下Miller hea the researpartment of a large brokerage firm. The firm hmany analysts, some of whom are subjeto the Co anStanr. If Miller legates some supervisory ties, whistatement best scribes her responsibilities unr the Co anStanr? A.Miller’s supervisory responsibilities not apply to those subornates who are not subjeto the Co anStanr. B.Miller no longer hsupervisory responsibility for those ties legateto her subornates. C.Miller retains supervisory responsibility for all subornates spite her legation of some ties. C is correct.Unr StanrIV(–Responsibilities of Supervisors, members ancantes mlegate supervisory ties to subornates but sulegation es not relieve members or cantes of their supervisory responsibilities. a result, answer B is incorrect. Moreover, whether or not Miller’s subornates are subjeto the Co anStanr is irrelevant to her supervisory responsibilities. Therefore, answer A is incorrect.想请问一下如果不是CFA的member是不是就不需要遵守这些co anstanrs呢 记得前面好像又说到过 谢谢!
NO.PZ2016032801000006 Miller no longer hsupervisory responsibility for those ties legateto her subornates. Miller retains supervisory responsibility for all subornates spite her legation of some ties. C is correct. Unr StanrIV(–Responsibilities of Supervisors, members ancantes mlegate supervisory ties to subornates but sulegation es not relieve members or cantes of their supervisory responsibilities. a result, answer B is incorrect. Moreover, whether or not Miller’s subornates are subjeto the Co anStanr is irrelevant to her supervisory responsibilities. Therefore, answer A is incorrect.请一下题目和各个
老师,是不是不管委托与否,领导都有责任?那谈委托有什么意义呢?有没有委托后可以免责的内容
老师,a什么意思呀?能翻译下吗?是说被授权人不受co anstanr管制吗?因为他们不是cfa成员?