问题如下:
3. According to the CFA Institute Code and Standards, what action should Nano take after discussing the firm’s compliance policy with President Markoe? Nano should:
选项:
A. resign from the firm.
B. notify the board of directors.
C. decline to accept supervisory responsibilities.
解释:
C is correct.
Standard IV(C) states that the member or candidate should decline in writing to accept supervisory responsibility until the firm adopts reasonable procedures to allow him to adequately exercise such responsibility.
看到助教之前的回答,“光report也不够,我们在公司的合规政策没建立好之前(或者公没赋予supervisor建立合规政策的权力前),最好的做法就是不接受supervisor的职位,因为一旦接受了,合规出了问题,作为supervisor要担责任。” 但是,这道题哪里说了他是supervisor的角色,不是实习生没留下来,换了家公司?怎么看出来是supervisor的呢?