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TZXคิดถึง · 2022年03月22日

为什么一个手下员工犯下的out of his knowledge的错误要领导承担？

  1. CFA I
  2. Ethics

NO.PZ2018062009000006

问题如下：

Martin is a team manager of Gamma Investment who has supervisor responsibility. In his team, some are CFA Institute members, but some are not. Which of the followings is least likely correct regarding Standard IV(C) Responsibilities of Supervisors?

选项：

A.

Martin’s supervisor responsibility is for all members in his team.

B.

If Gamma Investment is in absence of a compliance system, Martin can send a written report to decline the supervising until a fully exercise of adequate compliance system is established.

C.

Martin will not violate the Standard if his team member’s misconduct behavior is out of his knowledge.

解释：

C is correct.

Members acting as supervisors must have in-depth knowledge of the Code and Standards so that they can apply knowledge to supervise. He violates the standards if he should know but fails to detect and prevent violation.

作为领导层的CFA会员，应当熟知CFA准则，则他们可以在管理中更好地应用准则。只有当他应当知道，却依然没有发现及预防违规行为发生的时候，才违反准则。

为什么一个手下员工犯下的out of his knowledge的错误要领导承担？是说无论手下员工犯下所有错误领导都有责任吗？还是我理解错了，这里说的是在员工的知识之外？

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王暄_品职助教 · 2022年03月23日

嗨，从没放弃的小努力你好：


因为根据CFA准则，只要下属犯错，领导就违反CFA准则，这是准则里强调的。

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