问题 单项选择题

Sean Dahib, CFA, is in charge of the compliance program at his investment firm. According to the Standards of Practice Handbook, as a supervisor, Sean should least likely perform which of the following activities()

A. Respond promptly to all violations.

B. Disseminate the contents of the program to all personnel.

C. Periodically update the procedures to ensure that the measures are adequate under the law.

答案

参考答案:B

解析:

According to Standard Ⅳ (C) Duties to Employers: Responsibilities of Supervisors, members must make reasonable efforts to detect and prevent violations of applicable laws, rules, regulations, and the Code and Standards. Supervisors must disseminate the contents of the program to appropriate personnel. It is unnecessary to disseminate the contents of the program to all employees.

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