问题如下图:
选项:
A.
B.
C.
解释:
选项b错在哪里了呢?
NO.PZ2018062009000006 问题如下 Martin is a temanager of Gamma Investment who hsupervisor responsibility. In his team, some are CFA Institute members, but some are not. Whiof the followings is least likely correregarng StanrIV(Responsibilities of Supervisors? A.Martin’s supervisor responsibility is for all members in his team. B.If Gamma Investment is in absenof a compliansystem, Martin csena written report to cline the supervising until a fully exercise of aquate compliansystem is establishe C.Martin will not violate the Stanrif his temember’s misconbehavior is out of his knowlee. C is correct. Members acting supervisors must have in-pth knowlee of the Co anStanr so ththey capply knowlee to supervise. He violates the stanr if he shoulknow but fails to teanprevent 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?
NO.PZ2018062009000006 问题如下 Martin is a temanager of Gamma Investment who hsupervisor responsibility. In his team, some are CFA Institute members, but some are not. Whiof the followings is least likely correregarng StanrIV(Responsibilities of Supervisors? A.Martin’s supervisor responsibility is for all members in his team. B.If Gamma Investment is in absenof a compliansystem, Martin csena written report to cline the supervising until a fully exercise of aquate compliansystem is establishe C.Martin will not violate the Stanrif his temember’s misconbehavior is out of his knowlee. C is correct. Members acting supervisors must have in-pth knowlee of the Co anStanr so ththey capply knowlee to supervise. He violates the stanr if he shoulknow but fails to teanprevent 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?
NO.PZ2018062009000006 问题如下 Martin is a temanager of Gamma Investment who hsupervisor responsibility. In his team, some are CFA Institute members, but some are not. Whiof the followings is least likely correregarng StanrIV(Responsibilities of Supervisors? A.Martin’s supervisor responsibility is for all members in his team. B.If Gamma Investment is in absenof a compliansystem, Martin csena written report to cline the supervising until a fully exercise of aquate compliansystem is establishe C.Martin will not violate the Stanrif his temember’s misconbehavior is out of his knowlee. C is correct. Members acting supervisors must have in-pth knowlee of the Co anStanr so ththey capply knowlee to supervise. He violates the stanr if he shoulknow but fails to teanprevent 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。 有些下属不是cfa 也要遵守cfa的规定?
NO.PZ2018062009000006问题如下Martin is a temanager of Gamma Investment who hsupervisor responsibility. In his team, some are CFA Institute members, but some are not. Whiof the followings is least likely correregarng StanrIV(Responsibilities of Supervisors? A.Martin’s supervisor responsibility is for all members in his team. B.If Gamma Investment is in absenof a compliansystem, Martin csena written report to cline the supervising until a fully exercise of aquate compliansystem is establishe C.Martin will not violate the Stanrif his temember’s misconbehavior is out of his knowlee. C is correct. Members acting supervisors must have in-pth knowlee of the Co anStanr so ththey capply knowlee to supervise. He violates the stanr if he shoulknow but fails to teanprevent 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。 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。这句话完全和C一样,所以C是正确的,题目问的是不正确,为什么选C?
NO.PZ2018062009000006问题如下Martin is a temanager of Gamma Investment who hsupervisor responsibility. In his team, some are CFA Institute members, but some are not. Whiof the followings is least likely correregarng StanrIV(Responsibilities of Supervisors? A.Martin’s supervisor responsibility is for all members in his team. B.If Gamma Investment is in absenof a compliansystem, Martin csena written report to cline the supervising until a fully exercise of aquate compliansystem is establishe C.Martin will not violate the Stanrif his temember’s misconbehavior is out of his knowlee. C is correct. Members acting supervisors must have in-pth knowlee of the Co anStanr so ththey capply knowlee to supervise. He violates the stanr if he shoulknow but fails to teanprevent 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。 为什么一个手下员工犯下的out of his knowlee的错误要领导承担?是说无论手下员工犯下所有错误领导都有责任吗?还是我理解错了,这里说的是在员工的知识之外?