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必过1030_ · 2019年02月19日

问一道题:NO.PZ2018062009000006 [ CFA II ]

问题如下图:

选项:

A.

B.

C.

解释:

选项b错在哪里了呢?
1 个答案

发亮_品职助教 · 2019年02月21日

这道题是让选Least likley correct的一项。所以B选项的说法是正确的。

B选项是说,如果公司想让Mary,去做合规主管,但是公司却没有一套合规体系,这时候Mary需要确保公司建立一套完整的合规体系,否则可以决绝承担监管责任。这个说法是正确的。

确保公司有合适的合规体系,也是合约主管的责任,如果没有做到让公司建立合适的合规体系,也算监管失职。违反Standard IV(C) Responsibilities of Supervisors

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