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灰飞翔的猫 · 2025年02月11日

C

NO.PZ2023021602000067

问题如下:

Francesca Ndenda, CFA, and Grace Rutabingwa work in the same department for New Age Managers, with Rutabingwa reporting to Ndenda. Ndenda learns that Rutabingwa received a Notice of Enquiry from the Professional Conduct Program at CFA Institute regarding a potential cheating violation when she sat for the CFA exam in June. As Rutabingwa's supervisor, Ndenda is afraid that Rutabingwa's behavior will be seen as a violation of the Code and Standards. Does Ndenda most likely have cause for concern?

选项:

A.No, not until Rutabingwa is found guilty of cheating

B.Yes

C.No, because her responsibilities do not apply

解释:

A supervisor's responsibilities relate to detecting and preventing violations by anyone subject to their supervision or authority regarding activities they supervise. Ndenda had no way of detecting and/or preventing Rutabingwa from cheating during the CFA exam, if in fact that is what she did, because it was an event she did not attend.

我想问下,这道题解析里说这个监管者因为不能参加考试,所以不能阻止下属作弊么?

1 个答案

王暄_品职助教 · 2025年02月11日

是的,解析的意思是说,Ndenda作为监管者,无法直接监管或阻止Rutabingwa在CFA考试中的作弊行为,因为她没有参与考试过程。监管者的责任主要在于监督他们直接管理的活动,而考试是Rutabingwa个人的行为,不在Ndenda的直接监管范围内。所以,Ndenda在这个特定情况下,没有违反监管责任。

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