According to the Standards of Practice Han

问题单项选择题

According to the Standards of Practice Handbook, a member with-supervisory responsibilities violates the CFA Institute Standards of Professional Conduct if the member fails to:（）

A. prevent violations of the law.

B. prevent violations of the CFA Code and Standards.

C. establish and implement written compliance procedures.

答案

参考答案：C

解析：

[分析]：执业操守标准Ⅳ (C)(监督责任)的规定，负有监督责任的会员必须作出必要的努力，以发现违反法律法规和执业操守标准的行为。会员在履行上述监督职责时，应制定出相应的书面行为规范，并定期检查上述行为规范是否得到切实遵守。如果一名会员采纳了合理的行为规范，并采取了有效的步骤使该行为规范付诸执行，那么，即使其未能发现某些违法违规行为，也不违反本执业操守标准。 [考点] 对雇主的义务