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- 2011-7-2
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Which of the following is not a requiement of the compliance procedures recommended in the Asset Manager Code?
Possible answers:
A: All employees must sign an annual statement acknowledging that they have not breached any compliance procedures.
B: The appointed compliance officer should conduct regular reviews with employees to ensure compliance procedures are understood.
C: Reviews should be made to ensure that there is no front running occuring.
D: Independent verification of information sent to clients should be carried out. |
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发表于 2011-7-11 19:19
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