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cherry · 2024年06月06日

解释一下a选项

NO.PZ2016040303000006

问题如下:

Miller heads the research department of a large brokerage firm. The firm has many analysts, some of whom are subject to the Code and Standards. If Miller delegates some supervisory duties, which statement best describes her responsibilities under the Code and Standards?

选项:

A.

Miller’s supervisory responsibilities do not apply to those subordinates who are not subject to the Code and Standards.

B.

Miller no longer has supervisory responsibility for those duties delegated to her subordinates.

C.

Miller retains supervisory responsibility for all subordinates despite her delegation of some duties.

解释:

C  is correct.

Under Standard IV(C) –Responsibilities of Supervisors, members and candidates may delegate supervisory duties to subordinates but such delegation does not relieve members or candidates of their supervisory responsibilities. As a result, answer B is incorrect. Moreover, whether or not Miller’s subordinates are subject to the

Code and Standards is irrelevant to her supervisory responsibilities. Therefore, answer A is incorrect.

解释一下A选项。。。。。。。


1 个答案

王暄_品职助教 · 2024年06月06日

选项A说的是:“Miller的监督职责不适用于那些不受准则约束的下属。” 这个选项试图说明,如果某些下属不受行业准则(Code and Standards)的约束,那么Miller就不需要对他们进行监督。

Miller是一家大型经纪公司研究部门的负责人,这意味着她负有监督职责。即使某些员工可能不是行业准则的直接约束对象,作为他们的上司,仍然需要对他们进行监督,以确保他们的工作符合公司的政策、行业的最佳实践以及相关法律法规。