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Sofia nice · 2024年06月04日

这里能不能详细给总结下

  1. CFA I
  2. Ethics

NO.PZ2018062009000006

问题如下：

Martin is a team manager of Gamma Investment who has supervisor responsibility. In his team, some are CFA Institute members, but some are not. Which of the followings is least likely correct regarding Standard IV(C) Responsibilities of Supervisors?

选项：

A.

Martin’s supervisor responsibility is for all members in his team.

B.

If Gamma Investment is in absence of a compliance system, Martin can send a written report to decline the supervising until a fully exercise of adequate compliance system is established.

C.

Martin will not violate the Standard if his team member’s misconduct behavior is out of his knowledge.

解释：

C is correct.

Members acting as supervisors must have in-depth knowledge of the Code and Standards so that they can apply knowledge to supervise. He violates the standards if he should know but fails to detect and prevent violation.

作为领导层的CFA会员，应当熟知CFA准则，则他们可以在管理中更好地应用准则。只有当他应当知道，却依然没有发现及预防违规行为发生的时候，才违反准则。

如果领导是CFA和不是CFA，都要遵守这条吗？

如果下属犯任何错都要承担这个责任吗？

下属犯错在领导知识范围内，和不在领导知识范围内，都要负责吗？

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王暄_品职助教 · 2024年06月05日

是，无论是CFA成员还是非CFA成员，作为团队领导或监督者，在金融行业都应该遵循类似的监督和道德规范。然而，CFA协会的标准特别适用于其成员，并要求他们遵守更高的道德和专业标准。因此，虽然非CFA成员也需要遵循一定的监督和道德规范，但CFA成员受到的约束可能更为严格。

Sofia nice · 2024年06月13日

下属犯错在领导知识范围内，和不在领导知识范围内，都要负责吗？

王暄_品职助教 · 2024年06月13日

下属犯错在领导知识范围内，和不在领导知识范围内，都要负责吗？

无论下属的错误是否在领导的知识范围内，领导都有责任确保团队遵守道德规范，并应尽力防止违规行为的发生。


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