问题 单项选择题

Sheria, CFA, just joined an investment firm and reports directly to Raymond, who heads the department dealing with advisory service to high net worth individuals. To fulfill her duty of informing her employer about following AIMR Code of Ethics and Standards of Professional Conduct, Sheria must inform: ()

A. the firm’s chief executive officer either orally or in writing.

B. her direct supervisor orally about AIMR’s requirements.

C. her direct supervisor in writing about AIMR’s requirements.

答案

参考答案:C

解析:

Standard Ⅲ (A) Obligation to Inform Employer of Code and Standards. The standard indicates that Sheria must inform her employer in writing, though her direct supervisor, that she is obligated to comply with the Code and Standards and is subject to disciplinary sanctions if she violates the Code and Standards.

单项选择题
单项选择题