开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)｜3.2.5(安卓)APP下载

返回

SUN · 2020年11月18日

问一道题：NO.PZ201604030300004901 第1小题 [ CFA III ]

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

问题如下：

1. Are the three compliance procedures reviewed by Campanelli consistent with both the required and recommended standards of the CFA Institute Asset Manager Code of Professional Conduct?

选项：

A.

No, the procedures regarding record retention are inconsistent.

B.

No, the procedures regarding portfolio review are inconsistent.

C.

No, the procedures regarding investigation of complaints are inconsistent.

解释：

C is correct.

According to the recommendations of Section D(2) of the Asset Manager Code, where possible, the CCO should be independent from the investment and operations personnel and should report directly to the CEO or the board of directors.

B对应哪里，是那个找第三方问是否合规吗
添加评论
1 个答案
已采纳答案

王暄_品职助教 · 2020年11月19日

对应内容如下方基础班讲义标蓝处：

 

  • 1

    回答

  • 1

    关注

  • 576

    浏览
相关问题

NO.PZ201604030300004901 问题如下 1. Are the three complianproceres revieweCampanelli consistent with both the requireanrecommenstanr of the CFA Institute Asset Manager Co of ProfessionConct? A.No, the proceres regarng recorretention are inconsistent. B.No, the proceres regarng portfolio review are inconsistent. C.No, the proceres regarng investigation of complaints are inconsistent. C is correct.Accorng to the recommentions of Section 2) of the Asset Manager Co, where possible, the Cshoulinpennt from the investment anoperations personnel anshoulreport rectly to the CEO or the boarof rectors. 老师，可以解读下B和C答案吗？以及记录保存，是指对7年的时间有要求，具体是电子还是纸质没有要求吧

2022-08-24 16:29 2 · 回答

NO.PZ201604030300004901 No, the proceres regarng portfolio review are inconsistent. No, the proceres regarng investigation of complaints are inconsistent. C is correct. Accorng to the recommentions of Section 2) of the Asset Manager Co, where possible, the Cshoulinpennt from the investment anoperations personnel anshoulreport rectly to the CEO or the boarof rectors.是要读很多内容吗？为什么感觉一直没找到对应的内容

2021-04-06 07:54 1 · 回答

No, the proceres regarng portfolio review are inconsistent. No, the proceres regarng investigation of complaints are inconsistent. C is correct. Accorng to the recommentions of Section 2) of the Asset Manager Co, where possible, the Cshoulinpennt from the investment anoperations personnel anshoulreport rectly to the CEO or the boarof rectors.麻烦一下C答案是什么意思？

2020-09-22 00:32 1 · 回答