NO.PZ2024022002000210
问题如下:
What recommended practice supports compliance with the Standard regarding understanding legal obligations?
选项:
A.Routinely provide clients with overviews of pertinent securities legislation each year.
B.Create explicit procedures for the internal reporting of potential legal or compliance issues.
C.Seek guidance from regulatory authorities when uncertain about how to proceed with suspected violations.
解释:
Option B is correct because it aligns with the guidance under Standard I(A), Knowledge of the Law, emphasizing the importance of having structured protocols for reporting suspicions of non-compliance or legal infractions within the firm.题目问的是understanding,B选项看起来是reporting呀