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xiaoe · 2023年08月24日

选项2啥意思

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NO.PZ202304110100000401

问题如下:

Are Excerpts 2 and 3 of Crawfood’s compliance procedures consistent with the CFA Institute Standards of Professional Conduct?

选项:

A.

Yes.

B.

No, because Excerpt 2 applies only to officers and their direct reports.

C.

No, because Excerpt 3 does not require employees to achieve public dissemination.

解释:

Excerpt 2 is inconsistent with CFA Standards because it addresses only officers and only their direct reports, that is, employees whom they directly supervise. Standard IV (C) states that “any investment professionals who have employees subject to their control or influence” exercise supervisory responsibility. According to The Standards of Practice Handbook, “members and candidates who supervise large numbers of employees cannot personally evaluate the conduct of their employees on a continuing basis. Although these members . . . may delegate supervisory duties, such delegation does not relieve them of their supervisory responsibility.” Excerpt 3 is consistent with CFA Standards. It is based on a quote from the Standards of Practice Handbook stating that “if a member or candidate determines that information is material, the member . . . should make reasonable efforts to achieve public dissemination.” Members are not required to achieve public dissemination and those bound by a duty of loyalty or a duty to preserve confidentiality would refrain from doing so because it would breach their duty.

选项2啥意思,为什么选

1 个答案

王暄_品职助教 · 2023年08月25日

Excerpt 2说:管理者有责任确保他们的直接下属——也就是他们直接监督的员工——遵守适用的法律、法规和条例。

  • 这里的Officer就是指supervisor,也就是管理者
  • 管理者要确保他们管理的人或者影响的人遵守法律法规,不仅是只确保“directly supervise”的员工要遵守法律法规

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