TonyJIAO
2022-08-04 20:11extended disruption
請問這里extended disruption可以由外包做alternative plan的third party去通知客戶嗎？還是必須由本投資公司去通知客戶呢？謝謝
所屬：CFA Level III > Ethical and Professional Standards 視頻位置 相關試題
來源： 視頻位置 相關試題
1個回答
Chris Lan助教
2022-08-05 10:37
該回答已被題主采納
同學您好
這塊在原版書P287頁有對recovery plan的表述。
從表述來看，沒有提及您說的問題，提出的要求主要有以下幾點。
● adequate backup, preferably off-site, for all account information;
● alternative plans for monitoring, analyzing, and trading investments if primary systems become unavailable;
● plans for communicating with critical vendors and suppliers;
● plans for employee communication and coverage of critical business functions in the event of a facility or communication disruption; and
● plans for contacting and communicating with clients during a period of extended disruption.
因此我認為，只能能做到以上幾點即可。是誰去通知似乎并不重要。
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