NO.PZ202301190100002105
问题如下：
Are Wilson’s closing remarks consistent with recommended practices and procedures designed to prevent violations of the Asset Manager Code of Professional Conduct?
选项：
A. No, with regard to the business continuity plan.
B. No, with regard to disclosure of the firm’s risk management process.
C. Yes.
解释：
SolutionA is correct. At a minimum, Section D, Risk Management, Compliance, and Support, of the Asset Manager Code recommends that a business continuity plan include plans for contacting and communicating with clients during a period of extended disruption. Wilson’s continuity plan includes no such strategy. Wilson’s recommendation for disclosing the firm’s risk management process to both clients and regulators goes beyond the code recommendation, which is to disclose the risk management process only to clients.
B is incorrect because Wilson’s recommendation for disclosing the firm’s risk management process goes beyond the Code recommendations to disclose the risk management process to just clients, not to regulators. Wilson recommends they disclose to both.
C is incorrect because Wilson’s recommendation regarding the business continuity plan did not include the recommended action of having a plan to contact and communicate with clients during a period of extended disruption.
這道題的a為什麼不對？