开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

AvenYu · 2024年10月27日

C为什么不对?

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

1 个答案

王暄_品职助教 · 2024年10月28日

对于C,建议是seeking guidance from legal consultant,并不是向监管机构咨询

understanding legal obligations是泛指针对这块内容,并不是专门是“understand”的这个词,B也属于“understanding legal obligations”的内容。

  • 1

    回答
  • 0

    关注
  • 38

    浏览
相关问题