问题 单项选择题

Giselle Holt is a staff of the Professional Conduct Program of CFA Institute. In order to be compliance with the Code of Ethics and Standards of Professional Conduct, Holt is most directly responsible for which of the following activities()

A. conducting investigations on CFA members or candidates who may have violated the Code of Ethics and Standards of Professional Conduct.

B. conducting hearing panel relating to proposed sanctions on CFA members or candidates.

C. updating the code of ethics and the professional conduct annually to ensure they are effective.

答案

参考答案:A

解析:

如果CFA会员或考生违反了法律法规或者伦理道德标准,由CFA协会的专业行为项目(Professional Conduct Program,简称PCP)的员工负责对他们的行为进行调查,该员工也被称为授权的官员(Designated Officer)。CFA协会的纪律审查委员会(Disciplinary Review Committee,简称DRC)负责保持和更新伦理道德与专业行为标准,以确保其是有效的。如果CFA会员或考生不接受所施加的惩罚,该行为会启动听证会(Hearing Panel),且听证会的成员由纪律审查委员会的成员和附属于纪律审查委员会的CFA协会会员中的志愿者组成。

单项选择题 A3/A4型题
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