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lman · 2021年05月13日

道德课后题第六大题中的31题。

答案选C,何老师的解释是他没有保证最后系统符合监管要求,只是最初符合监管要求。但是正文中相关段落最后一句话说的很清楚啊,according to the compliance department, changes are necessary to comply with regulatory requirements.这不就说明最后系统也是符合监管要求么?changes are necessary to comply with regulatory requirements,也提到了改变要必须符合监管要求。

1 个答案

王暄_品职助教 · 2021年05月14日

Xavier Brown, CFA, is responsible for overseeing the project to ensure its timely completion. Brown enlists the compliance department to review the programming during the initial development phase and identify any potential problems. The compliance department compares the order-handling function of the new system to the third-party software currently in use. They identify several potential problems, including delays in execution of certain large market orders and embedded markups and markdowns on stocks in which the firm makes a market. According to the compliance department, changes are necessary to comply with regulatory requirements.


分析一下对应信息点:(即我划线的两处)

  1. 合规部门检查时发现了潜在问题-->说明Brown的监管不到位
  2. 这个change是合规部门发现的,然后合规部门提出来的,并不是Brown提出来的-->说明Brown的监管不到位,所以合规部门要求change

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