NO.PZ2023021602000077
问题如下:
According to the recommended procedures for compliance with CFA Institute Standard V(C): Record Retention, who is most likely responsible for maintaining the records that support investment actions?
选项:
A.The firm
B.Research analysts
C.The chief compliance officer
解释:
A is correct. According to the recommended procedures for compliance with CFA Institute Standard V(C): Record Retention, the responsibility to maintain records that support investment action generally lies with the firm, rather than individuals.请问责任归公司,那个人呢