问题 单项选择题

下列不属于防范基金销售操作风险的措施是()。

A.在业务基本规程中对重要业务环节实施有效复核,确保重要环节业务操作的准确性

B.销售业务和管理程序必须严格遵从操作规程,经办人员的每一项工作必须在其业务授权范围内进行

C.加强员工业务培训和考核,提高员工业务素质

D.建立业务差错处理预案,提高差错或纠纷的处理效率

答案

参考答案:B

解析:防范基金销售操作风险的措施主要有以下几点:①基金销售机构应按照国家有关法律法规及销售业务的性质和自身特点严格制定管理规章、操作流程和岗位手册,明确揭示不同业务环节可能存在的风险点并采取控制措施;②在业务基本规程中,应对重要业务环节实施有效复核,确保重要环节业务操作的准确性;③加强员工业务培训和考核,提高员工业务素质;④应建立业务差错处理预案,提高差错或纠纷的处理效率。B项为防范基金销售人员合规风险所采取的措施。

多项选择题
完形填空

An elderly carpenter was ready to retire. He told his employer of his plans to  1  the house-building business to live a more  2  life with his wife and  3  his extended family. He would miss the paycheck(工资)each week, but he wanted to retire. They could  4

The employer was  5  to see his good worker go and asked if he could build just one more house as a personal favor. The carpenter said yes,  6  over time it was easy to see that his heart was not in his work. He used bad workmanship and  7  materials. It was an unfortunate way to  8  a dedicated(献身的)career.

When the carpenter finished  his work, his employer came to  9 the house. Then he handed the front-door  10  to the carpenter and said, “This is your house... my  11  to you.”

The carpenter was shocked!

What a  12 ! If he had only known he was building his own house, he would have done it all so differently.

13  it is with us. We build our lives, a day at a time, often putting  14  than our best into the building. Then, with a shock, we  15  we have to live in the house we have built. If we could do it over, we would do it much differently.

But, you cannot  16 . You are the carpenter, and every day you hammer a nail, place a board, or build a wall. Someone  17  said, “Life is a do-it-yourself project.” Your  18 ,  and the choices you  19  today, help build the “house” you will live in tomorrow. Therefore, build  20 !

1. A. continue        B. start      C. leave        D. find      

2. A. leisurely       B. lonely     C. orderly     D. friendly        3. A support          B. share         C. enjoy       D. care          4. A. go off         B. get by     C. pass on     D. work away      5. A. polite           B. nervous     C. proud       D. sorry        

6. A. but            B. while      C. which        D. before          7. A. perfect        B. inferior   C. superior    D. tough           8. A. satisfy          B. improve     C. meet        D. end            

9. A. buy           B. repair     C. inspect         D. sell            10. A. roof           B. window      C. key            D. design       11. A. gift           B. promise     C. salary        D. words   

12. A. disappointment   B. shame      C. pleasure        D. success      13. A. So            B. Yet        C. As             D. Such         14. A. worse            B. more        C. rather         D. less        15. A. realize         B. explain      C. think           D. admit        16. A. step forward     B. go back      C. come out        D. look around