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Churning · 2020年05月08日

问一道题:NO.PZ2016032802000033

问题如下:

Tony Brown, CFA, is the research director for Win Investment company. Recently he found some loopholes in his company's compliance system which affected its supervision and enforcement, and reflected this problem to the management. But he got no reply to solve this problem. Tony should most likely:

选项:

A.

write an email to company's management to reflect this problem again.

B.

write a letter of resignation immediately.

C.

decline to accept supervisory responsibility in writing until the company's compliance system is reasonable perfected.

解释:

C is correct.

Tony should reject to bear supervisory responsibility until the management perfects the company’s compliance system according to the Standard IV(C) Responsibilities of Supervisors. Because he has already found the problem and reflected it to the management.

老师 能翻译下c选项使什么意思吗

2 个答案

王暄_品职助教 · 2020年05月09日

嗨,努力学习的PZer你好:


书面化拒绝接受接受监管责任,直到公司的合规系统修复至合规合理。(前面学员回答的很对~)


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我叫仙人涨 · 2020年05月09日

我觉得, 是


在公司的compliance系统合理完善之前是 拒绝接受纸面上面的监管责任的(就是相当于拒绝书面上面签字同意,接管这个责任)