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sososososophi · 2019年11月22日

问一道题:NO.PZ2016032802000030

问题如下:

King Leopold, CFA, works as an independent director for Wordsworth Firm. King suspects Wordsworth has several illegal actions when he talks with another director. King finds his firm's legal counsel and verifies these illegal actions. At the board meeting, King proposes the disclosure of these illegal actions. The board, however, vote and decide to ignore them. Which of the followings is most likely correct?

选项:

A.

King should propose this at the next board meeting again.

B.

King should withdraw from the board and ask for the advice of legal counsel how to disclose these illegal actions.

C.

King should disclose this to the local law agency immediately before he withdraws from the board .

解释:

B is correct.

Following the Standard I(A) Knowledge of the Law, because he has already put forward these illegal actions in the board meeting, but the board decided to ignore this. At first, King must dissociate from the board and find a  legal counsel to ask for the suggestion of what other actions would be appropriate in this case. Then, he may also need to find legal or regulatory authorities to reflect these illegal activities.

正确顺序不应该是 report给相关部门然后不处理的话才 dissociate吗, 所以应该是c啊

1 个答案

包包_品职助教 · 2019年11月25日

嗨,爱思考的PZer你好:


正确顺序是report给supervisor或compliance department à如果他们不处理,再dissociate,即使辞职也在所不惜,在这道题目里面,他已经报告给董事会和compliance department ,他们不处理,所以接下来就是dissociate

B选项里面的disclose 是向法律机关disclose,而你说的那个report 是给supervisor或compliance department report ,二者的对象不同。


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