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ditto · 2018年06月01日

问一道题:NO.PZ2016032801000006 [ CFA I ]

问题如下图:

选项:

A.

B.

C.

解释:

没看懂这道题 对应哪个考点
1 个答案
已采纳答案

发亮_品职助教 · 2018年06月05日

同学你好。

这道题是在讲:如果合规负责人Supervisor将自己监管的工作职责交给别人代为执行时,

他的responsibility。

对应的考点是:Standard IV(C) Responsibilities of Supervisors

如下图红框:

Candidate,member是可以将监管职责交给别人代为执行的,但是他仍有监管的责任。

也就是说,如果由于监管的疏忽,有员工违反了法律;虽然监管职责是代由别人执行的,但是他仍要负责,在这种情况下,他还是违反了Standard IV(C).

答案C选项表达的意思就下图红框内的:

 

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