问题 单项选择题

Jane Mattock, CFA, senior vice president and head of the research department of H&V, Inc., a regional brokerage firm. In preparation for a long business trip, Mattock delegates his authority to Deion Miller, CFA. Which of the following is most accurate to comply with the Professional Conduct Standards()

A. Mattock is required to advise his supervisor and his compliance department, in writing, of the delegation of his supervisory duties.

B. Mattock still has supervisory responsibility and must instruct Miller about methods to prevent and detect violations of applicable laws, rules, regulations, and the CFA Institute Code of Ethics and Standards of Professional Conduct.

C. Miller still has supervisory responsibility but need not instruct a charterholder like Miller about methods to prevent and detect violations of applicable laws, rules, regulations, and the CFA Institute Code of Ethics and Standards of Professional Conduct.

答案

参考答案:B

解析:

将监管责任代理授权给他人,自己仍然担负监管责任,但必须要指导被授权人如何防范和察觉对于法律、法规和CFA协会的伦理道德和专业行为标准而言,所不允许的方法,不管被授权人是否为CFA持证人;而是否要书面报告给主管和公司法务部门,则根据公司规定而定,并没有一定的要求。

单项选择题
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