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

庄园monar · 2022年04月11日

根据答案的解释,C应该是对的。。

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。

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。这句话完全和C一样,所以C是正确的,题目问的是不正确,为什么选C?

1 个答案

王暄_品职助教 · 2022年04月11日

He violates the standards if he should know but fails to detect and prevent violation: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。(你的解释无误)


再看C选项:Martin will not violate the Standard if his team member’s misconduct behavior is out of his knowledge:M同学将会违反准则,当他下属的行为在他的认知之外。这是错的,其实出题人想表达的意思是【因为下属的misconduct在他的认知之外,只能说明他没有努力、尽责的发现违法行为。

  • 1

    回答
  • 0

    关注
  • 491

    浏览
相关问题

NO.PZ2018062009000006 问题如下 Martin is a temanager of Gamma Investment who hsupervisor responsibility. In his team, some are CFA Institute members, but some are not. Whiof the followings is least likely correregarng StanrIV(Responsibilities of Supervisors? A.Martin’s supervisor responsibility is for all members in his team. B.If Gamma Investment is in absenof a compliansystem, Martin csena written report to cline the supervising until a fully exercise of aquate compliansystem is establishe C.Martin will not violate the Stanrif his temember’s misconbehavior is out of his knowlee. C is correct. Members acting supervisors must have in-pth knowlee of the Co anStanr so ththey capply knowlee to supervise. He violates the stanr if he shoulknow but fails to teanprevent 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。 另外,如果下属不是CFA,也要按照CFA标准要求他们吧?

2024-08-13 22:01 1 · 回答

NO.PZ2018062009000006 问题如下 Martin is a temanager of Gamma Investment who hsupervisor responsibility. In his team, some are CFA Institute members, but some are not. Whiof the followings is least likely correregarng StanrIV(Responsibilities of Supervisors? A.Martin’s supervisor responsibility is for all members in his team. B.If Gamma Investment is in absenof a compliansystem, Martin csena written report to cline the supervising until a fully exercise of aquate compliansystem is establishe C.Martin will not violate the Stanrif his temember’s misconbehavior is out of his knowlee. C is correct. Members acting supervisors must have in-pth knowlee of the Co anStanr so ththey capply knowlee to supervise. He violates the stanr if he shoulknow but fails to teanprevent 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。 如果领导是CFA和不是CFA,都要遵守这条吗?如果下属犯任何错都要承担这个责任吗?下属犯错在领导知识范围内,和不在领导知识范围内,都要负责吗?

2024-06-04 18:12 2 · 回答

NO.PZ2018062009000006 问题如下 Martin is a temanager of Gamma Investment who hsupervisor responsibility. In his team, some are CFA Institute members, but some are not. Whiof the followings is least likely correregarng StanrIV(Responsibilities of Supervisors? A.Martin’s supervisor responsibility is for all members in his team. B.If Gamma Investment is in absenof a compliansystem, Martin csena written report to cline the supervising until a fully exercise of aquate compliansystem is establishe C.Martin will not violate the Stanrif his temember’s misconbehavior is out of his knowlee. C is correct. Members acting supervisors must have in-pth knowlee of the Co anStanr so ththey capply knowlee to supervise. He violates the stanr if he shoulknow but fails to teanprevent 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。 有些下属不是cfa 也要遵守cfa的规定?

2023-05-13 00:31 1 · 回答

NO.PZ2018062009000006问题如下Martin is a temanager of Gamma Investment who hsupervisor responsibility. In his team, some are CFA Institute members, but some are not. Whiof the followings is least likely correregarng StanrIV(Responsibilities of Supervisors? A.Martin’s supervisor responsibility is for all members in his team. B.If Gamma Investment is in absenof a compliansystem, Martin csena written report to cline the supervising until a fully exercise of aquate compliansystem is establishe C.Martin will not violate the Stanrif his temember’s misconbehavior is out of his knowlee. C is correct. Members acting supervisors must have in-pth knowlee of the Co anStanr so ththey capply knowlee to supervise. He violates the stanr if he shoulknow but fails to teanprevent 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。 为什么一个手下员工犯下的out of his knowlee的错误要领导承担?是说无论手下员工犯下所有错误领导都有责任吗?还是我理解错了,这里说的是在员工的知识之外?

2022-03-22 14:32 1 · 回答