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Zunniyaki · 2022年05月23日

这道题违反了哪一条准则?

* 问题详情,请 查看题干

NO.PZ201604030300004602

问题如下:

2. When overseeing the development of the automated-trading system, does Brown violate any CFA Institute Standards?

选项:

A.

No.

B.

Yes, because he accepted an assignment for which he was inadequately trained and skilled.

C.

Yes, because he did not ensure that the final system complied with regulatory requirements.

解释:

C is correct.

Brown is in violation of Standard IV(C) —Responsibilities of Supervisors because he did not ensure that the final system complied with regulatory requirements. According to the Standard, Brown has a responsibility to make reasonable efforts to detect and prevent violations of applicable laws, rules, and regulations. Alerted to potential problems by the compliance department, he had a responsibility to ensure that the modifications corrected the potential problems without introducing new problems.

答案上解释是违反了IV(C)responsiblility of supervisors,但是何老师讲解时说违反了V(A)diligence and resonable basis,请问到底是违反了哪一条?

1 个答案

王暄_品职助教 · 2022年05月24日

两个都有涉及:

1、由于没有充分的review这个系统,所以违反了V(A)diligence and resonable basis

2、由于Brown本身也是该系统开发过程中的监管者,那么由于最后没有再次让合规部分检查最终的版本是否符合监管要求,所以也违反IV(C) —Responsibilities of Supervisors