The Kingfisher team and the government committee meet to agree on the draft code of conduct. Members of the government committee suggest the following additional policy: “Each financial services firm must have a compliance supervisor to ensure that
Task 1: systems are in place to detect violations of laws, rules, regulations, firm policies, and the industry-wide code of conduct and to enforce investment-related compliance policies;
Task 2: the firm has adequate documented compliance policies and procedures and it trains all personnel on the same and makes sure the policies and procedures are followed; and
Task 3: inadequate procedures are identified and recommendations to correct inadequate procedures are submitted to senior management for approval and implementation.”
Which of the following tasks suggested by the government committee would least likely conform to Standard IV(C): Responsibilities of Supervisors?
| Task 3 | |
| Task 1 | |
| Task 2 |
Task 1 is insufficient in that Standard IV(C): Responsibilities of Supervisors requires supervisors to enforce non-investment-related policies as well as investment-related policies.
CFA Level 2
"CFA Institute Guidance for Standards I–VII," CFA Institute
Standard IV(C): Responsibilities of Supervisors
请问这题如何理解，task3 为什么不选
