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金融民工阿聪 · 2022年02月19日

关于C

NO.PZ2018062009000006

问题如下:

Martin is a team manager of Gamma Investment who has supervisor responsibility. In his team, some are CFA Institute members, but some are not. Which of the followings is least likely correct regarding Standard IV(C) Responsibilities of Supervisors?

选项:

A.

Martin’s supervisor responsibility is for all members in his team.

B.

If Gamma Investment is in absence of a compliance system, Martin can send a written report to decline the supervising until a fully exercise of adequate compliance system is established.

C.

Martin will not violate the Standard if his team member’s misconduct behavior is out of his knowledge.

解释:

C is correct.

Members acting as supervisors must have in-depth knowledge of the Code and Standards so that they can apply knowledge to supervise. He violates the standards if he should know but fails to detect and prevent violation.

作为领导层的CFA会员,应当熟知CFA准则,则他们可以在管理中更好地应用准则。只有当他应当知道,却依然没有发现及预防违规行为发生的时候,才违反准则。

C里面说了都out of his knowledge了,自然他就无法应当知道啊,为什么还算是他违反了呢?

1 个答案

王暄_品职助教 · 2022年02月20日

Martin will not violate the Standard if his team member’s misconduct behavior is out of his knowledge.

C说的是如果他下属的行为Out of his knowledge,他不会违反。

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