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ciaoyy · 2020年03月12日

问一道题:NO.PZ2016040303000006

问题如下:

Miller heads the research department of a large brokerage firm. The firm has many analysts, some of whom are subject to the Code and Standards. If Miller delegates some supervisory duties, which statement best describes her responsibilities under the Code and Standards?

选项:

A.

Miller’s supervisory responsibilities do not apply to those subordinates who are not subject to the Code and Standards.

B.

Miller no longer has supervisory responsibility for those duties delegated to her subordinates.

C.

Miller retains supervisory responsibility for all subordinates despite her delegation of some duties.

解释:

C  is correct.

Under Standard IV(C) –Responsibilities of Supervisors, members and candidates may delegate supervisory duties to subordinates but such delegation does not relieve members or candidates of their supervisory responsibilities. As a result, answer B is incorrect. Moreover, whether or not Miller’s subordinates are subject to the

Code and Standards is irrelevant to her supervisory responsibilities. Therefore, answer A is incorrect.

A为什么错?不是说“对于不在CFA准则约束下的成员,只要遵守法律即可”吗?

1 个答案

发亮_品职助教 · 2020年03月13日

嗨,努力学习的PZer你好:


“不是说“对于不在CFA准则约束下的成员,只要遵守法律即可”吗?”


是的,CFA准则只约束Members and candidates。


这道题是这样,Miller把自己的一部分Supervisory职责委托给了他人(Delegates Some Supervisory Duties);

然后A选项是说,Miller不对这些下属有监管的职责,哪些下属呢?A选项说的是宣称不遵守Code and standards的下属。

A选项就是凑选项的,Miller即便把自己的监管责任委托出去了,他仍需要对下属负有监管的最终责任,也就是说他不能因为委托而免掉最终监管的责任,不管下属是不是遵守Code and standards,Miller本人仍具有Supervisory Responsibilities for all subordinates.


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NO.PZ2016040303000006问题如下Miller hea the researpartment of a large brokerage firm. The firm hmany analysts, some of whom are subjeto the Co anStanr. If Miller legates some supervisory ties, whistatement best scribes her responsibilities unr the Co anStanr?A.Miller’s supervisory responsibilities not apply to those subornates who are not subjeto the Co anStanr.B.Miller no longer hsupervisory responsibility for those ties legateto her subornates.C.Miller retains supervisory responsibility for all subornates spite her legation of some ties.is correct.Unr StanrIV(–Responsibilities of Supervisors, members ancantes mlegate supervisory ties to subornates but sulegation es not relieve members or cantes of their supervisory responsibilities. a result, answer B is incorrect. Moreover, whether or not Miller’s subornates are subjeto theCo anStanr is irrelevant to her supervisory responsibilities. Therefore, answer A is incorrect.一下A。。。。。。。

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