问题如下图:
选项:
A.
B.
C.
解释:
感觉答案的解释有点牵强啊,根据题目也没法认定修改后会产生新的问题啊……
发亮_品职助教 · 2019年04月17日
这里是这样的,刚开始,Brown让合规部门在开发的初级阶段(Initial development phase),审查了新开发的系统:
Brown enlists the compliance department to review the programming during the initial development phase and identify any
potential problems.
然后合规部分提供了反馈,发现了系统的一些问题,这些问题会违反监管要求。然后系统就需要程序员改;
最终改好后,是程序员报告说修正了问题:
After several months, the programmers report that they have corrected all the identified problems and run the necessary tests and simulations.
然后Brown就直接让新系统上线了。
其实在最后一步,Brown需要再次让合规部分检查最终的版本是否符合监管要求,保证符合后才能上线。
因为Responsibility of supervisors这条准则,要求的make reasonable efforts让自己负责的事项符合法律等合规要求,最后上线前Brown没有检查,就是没有履行该职责。
NO.PZ201604030300004602 问题如下 2. When overseeing the velopment of the automatetrang system, es Brown violate any CFA Institute Stanr? A.No. B.Yes, because he accepteassignment for whihe winaquately traineanskille C.Yes, because he not ensure ththe finsystem compliewith regulatory requirements. C is correct.Brown is in violation of StanrIV(—Responsibilities of Supervisors because he not ensure ththe finsystem compliewith regulatory requirements. Accorng to the Stanr Brown ha responsibility to make reasonable efforts to teanprevent violations of applicable laws, rules, anregulations. Alerteto potentiproblems the complianpartment, he ha responsibility to ensure ththe mofications correctethe potentiproblems without introcing new problems. 答案上是违反了IV(C)responsiblility of supervisors,但是何老师讲解时说违反了V(A)ligenanresonable basis,请问到底是违反了哪一条?
Brown在让complianpartment发现问题后,不是让他们检测修复并且重新测试了问题,最后也修复了问题了吗,在后面一段中有讲到。那么怎么就说最终的系统没能complie呢