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Aaabby · 2020年08月28日

问一道题:NO.PZ201604030300004406

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问题如下:

6. In her supervisory duties, does Finnegan violate any CFA Standards?

选项:

A.

No.

B.

Yes, because she fails to ensure that compliance procedures are enforced.

C.

Yes, because she delegates supervisory authority to her assistant branch manager.

解释:

B is correct.

Finnegan violates Standard IV(C) —Responsibilities of Supervisors by failing to ensure that compliance procedures are enforced. As she informed her staff, Harvest "must review each account on an annual basis to determine whether PlusAccount status remains appropriate." Had Vanderon’s and Brown’s accounts been reviewed annually in accordance with compliance procedures, it would have been clear that the PlusAccount was no longer suitable for either. Delegating supervisory authority to another individual does not violate the Standards.

选项c是什么意思?

1 个答案

王暄_品职助教 · 2020年08月28日

嗨,努力学习的PZer你好:


C的翻译是:Finnegan违反了CFA准则是因为她把权力委托给了她的下属。

委托权力给下属并没有错。


-------------------------------
虽然现在很辛苦,但努力过的感觉真的很好,加油!


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