NO.PZ201604030300004901
问题如下:
1. Are the three compliance procedures reviewed by Campanelli consistent with both the required and recommended standards of the CFA Institute Asset Manager Code of Professional Conduct?
选项:
A.No, the procedures regarding record retention are inconsistent.
B.No, the procedures regarding portfolio review are inconsistent.
C.No, the procedures regarding investigation of complaints are inconsistent.
解释:
C is correct.
According to the recommendations of Section D(2) of the Asset Manager Code, where possible, the CCO should be independent from the investment and operations personnel and should report directly to the CEO or the board of directors.
老师,可以解读下B和C答案吗?
以及记录保存,是指对7年的时间有要求,具体是电子还是纸质没有要求吧