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Ruthlessbaby · 2020年09月22日

问一道题:NO.PZ201604030300004901 第1小题 [ CFA III ]

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问题如下:

1. Are the three compliance procedures reviewed by Campanelli consistent with both the required and recommended standards of the CFA Institute Asset Manager Code of Professional Conduct?

选项:

A.

No, the procedures regarding record retention are inconsistent.

B.

No, the procedures regarding portfolio review are inconsistent.

C.

No, the procedures regarding investigation of complaints are inconsistent.

解释:

C is correct.

According to the recommendations of Section D(2) of the Asset Manager Code, where possible, the CCO should be independent from the investment and operations personnel and should report directly to the CEO or the board of directors.

麻烦解释一下C答案是什么意思?
1 个答案

王暄_品职助教 · 2020年09月22日

嗨,努力学习的PZer你好:


C的意思是:整个调查的过程和CFA的准则不符。


-------------------------------
努力的时光都是限量版,加油!


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