NO.PZ201604030300004406
问题如下：
6. In her supervisory duties, does Finnegan violate any CFA Standards?
选项：
A.
No.
B.
Yes, because she fails to ensure that compliance procedures are enforced.
C.
Yes, because she delegates supervisory authority to her assistant branch manager.
解释：
B is correct.
Finnegan violates Standard IV(C) —Responsibilities of Supervisors by failing to ensure that compliance procedures are enforced. As she informed her staff, Harvest "must review each account on an annual basis to determine whether PlusAccount status remains appropriate." Had Vanderon’s and Brown’s accounts been reviewed annually in accordance with compliance procedures, it would have been clear that the PlusAccount was no longer suitable for either. Delegating supervisory authority to another individual does not violate the Standards.
如题。。。。。。。。。
