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Sofia nice · 2024年08月13日

再确认下，如果领导者不是CFA，也要遵守领导者责任这一条是吗？也不能违反。

  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。

另外，如果下属不是CFA，也要按照CFA标准要求他们吧？

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1 个答案

王暄_品职助教 · 2024年08月14日

是的，您的理解是正确的。根据CFA协会的道德准则，作为团队经理或监督者的CFA会员，如Martin，有责任确保团队所有成员（无论是否是CFA会员）都遵守CFA的道德准则和专业行为标准。


对于您给出的三个选项：

A. Martin的监督责任涵盖他团队中的所有成员。这是正确的，因为作为团队经理，他需要对团队的整体行为和合规性负责。

B. 如果Gamma Investment没有合规系统，Martin可以发送书面报告拒绝监督，直到建立充分的合规系统。这个选项的正确性可能取决于具体情况和CFA协会的具体要求。一般来说，监督者有责任在缺乏有效合规系统的情况下报告此问题，并可能需要采取额外措施来确保合规，但这并不意味着他们可以完全免除监督责任。

C. 如果Martin不知道他团队成员的不当行为，他不会违反标准。这是正确的，但有一个重要的前提：Martin必须已经采取了合理的措施来检测和预防违规行为。如果他应该知情但由于疏忽或未采取适当措施而未能发现违规行为，那么他仍然可能违反监督责任。

关于非CFA会员的团队成员，Martin仍然需要按照CFA的道德准则和专业行为标准来要求他们，因为作为CFA会员和团队经理，他有责任确保整个团队的行为都符合这些高标准。这意味着，即使团队成员不是CFA会员，Martin也需要确保他们的行为不会违反CFA的准则，并可能需要为他们提供必要的培训和指导，以达到这一要求。

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