NO.PZ202301190200001201
问题如下:
Are the significant changes made by Twain’s management most likely in compliance with the Asset Manager Code of Professional Conduct?选项:
A.Yes. B.No, with respect to back-office operations. C.No, with respect to the independent consultant.解释:
根据CFA Institute的《道德规范与专业行为准则》,标准V(C)记录保存,要求应保持准确和完整的记录,并采取有效的措施管理客户信息。Twain的管理层在升级信息管理系统、更新文件存储方式并实施业务持续性计划等方面,采取了有效措施以确保符合合规要求。
如题