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?