标题: Ass Man Code quiz [打印本页] 作者: pawn 时间: 2011-7-11 19:19 标题: Ass Man Code quiz
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.作者: bboo 时间: 2011-7-11 19:19
love the names of these quizzes. reminds me of Kramer on Seinfeld. i guess A
Edited 1 time(s). Last edit at Thursday, May 12, 2011 at 09:28AM by SkipE99.作者: wake2000 时间: 2011-7-11 19:19
I'm going to go w/ C.
Seems a bit specific作者: cityboy 时间: 2011-7-11 19:19
The answer is: A
The nearest the Code gets to this issue is to state that consideration should be given asking employees to sign a statement acknowledging they have received a copy of the Code and have complied with it. There is no requirement asking for annual statements.作者: Windjammer 时间: 2011-7-11 19:19
Damn, guessed D.
NO EXCUSES作者: mik82 时间: 2011-7-11 19:19
Was btwn A & D. Guessed D =(作者: thommo77 时间: 2011-7-11 19:19
Found it -- D.3
Ensure that portfolio information provided to clients by the Manager is
accurate and complete and arrange for independent third-party confirmation
or review of such information.