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nurwinter · 2021年06月13日

可以解释一下题目和各个选项吗

NO.PZ2016032801000006

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.

请解释一下题目和各个选项
1 个答案

王暄_品职助教 · 2021年06月15日

题干大概意思就是: M同学是一个supervisor,如果他将自己的责任委托出去,那么以下哪个选项正确?

A:如果M同学的下属,不是CFA member or candidates,不受CFA准则的监管,那么M同学对他们就没有监管责任。-->错误,但凡是M同学的下属,就要听从M同学的监管。


B. 一旦M同学将自己的监管责任委托出去,自己不再负有监管责任-->错误,即使他将自己的监管责任委托出去,他依然是supervisor,依然负有监管责任。


C.尽管M同学将自己的责任委托出去了,他依然负有监管责任。-->正确。


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