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MINI PP · 2022年04月18日

想请问一下如果不是CFA的member是不是就不需要遵守这些code and standards呢?记得前面好像又说到过 谢谢!

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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.

想请问一下如果不是CFA的member是不是就不需要遵守这些code and standars呢 记得前面好像又说到过 谢谢!

1 个答案

王暄_品职助教 · 2022年04月19日

不是CFA的会员和考生自然不用遵守CFA相关准则;

而本题强调的是作为一名身为CFA的Supervisor,必须要确保下属符合规章制度,并且即便他把监管责任delegate出去,也不能免责