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puchao · 2021年11月02日

请问这题大致意思是?能否翻译一下,谢谢

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.

请问这题大致意思是?能否翻译一下,谢谢

1 个答案
已采纳答案

王暄_品职助教 · 2021年11月04日

Miller是一家证券公司投研部的老大。这家公司有很多分析师,这些分析师都要遵守CFA的code and standard。如果Miller现在将他作为领导的责任,委托出去,那么一下哪一个选项最好的描述了她的责任。

这个题目涉及的条款是:IV(C) –Responsibilities of Supervisors;领导即便把自己的责任委托出去了,但她也不可以免责。


所以对应的应该选择C:尽管她委派了一些职责,但仍保留对所有下属的监督责任。

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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。。。。。。。

2024-06-06 05:55 1 · 回答

NO.PZ2016040303000006  Miller legates some supervisory ties 是说他免除了自己部分的监督职责,说明有一些事情他不在管理了,那为什么还需要对自己不管理的部分负责呢?

2021-09-14 10:48 1 · 回答

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?

2020-03-12 15:33 1 · 回答

    如果supervisor是CF他负责的组员一部分follow CFA co ethistanr 一部分不follow, 那遇到介于法律和CFA stanr间的事情(CFA co更严格),他该怎么做呢?要求自己和一部分组员follow co anstanr 另一部分遵守法律就可以了么?

2018-03-08 05:36 1 · 回答