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120555137 · 2020年05月17日

问一道题:NO.PZ201604030300004902 第2小题 [ CFA III ]

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问题如下:

2. Is Bornelli’s disaster recovery plan consistent with both the required and recommended standards of the Asset Manager Code?

选项:

A.

Yes.

B.

No, because the plan lacks a backup plan for monitoring, analyzing, and trading investments.

C.

No, because the plan only provides for contacting and communicating with clients during periods of extended disruption.

解释:

B is correct.

According to the guidance provided in Section D(6) of the Asset Manager Code, the level and complexity of business-continuity planning depends on the size, nature, and complexity of the organization involved. Bornelli is a large firm with hedge fund investments and it should have alternative plans for monitoring, analyzing, and trading investments if primary systems become unavailable.

交易监测分析不是IT部门负责吗

1 个答案
已采纳答案

王暄_品职助教 · 2020年05月18日

嗨,从没放弃的小努力你好:


  • Technology division是负责备份公司电脑系统和客户资料
  • 一个合格的business-continuity plan 需要“alternative plans for monitoring, analyzing and trading investments if primary system become unavailable”。这部分是说当遇到灾难,公司主系统失效时,需要有备选计划去检测,分析交易。It部门并没有负责这件事。

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