Oliverbug
2020-11-03 17:0807.單選題 已收藏 標(biāo)記 糾錯 Kate Kally, CFA, manages several hundred employees as the head of research for a large investment advisory firm. Kate, as a former securities regulatory official until recently, ensured that his department’s compliance program always met or exceeded those of its competitors. Kate has delegated his supervisory responsibilities concerning compliance issues to Sucy Chen. Kate informed Sucy that her responsibilities include ensuring that the firm has appropriate compliance procedures and is making reasonable efforts to detect and prevent violations of Rules, Regulations, and the Code and Standards. Kate most likely violated the CFA Institute Standards of Professional Conduct by not telling Sucy to consider: A Firm policies. B Industry standards. C Legal restrictions. 這題選A，好像兩個答案有沖突？
所屬：CFA Level I > Ethical and Professional Standards 視頻位置 相關(guān)試題
來源： 視頻位置 相關(guān)試題
1個回答
Danyi助教
2020-11-03 17:25
該回答已被題主采納
同學(xué)你好，
這題選C。
應(yīng)該是prevent and detect violations of laws, rules, regulations, and the Code and Standards. 少了一個law，law里面才包括legal restrictions.
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