Q5. Ava Heidberg, CFA, has decided to revise her firm's written compliance manual. She Checks with counsel regarding changes to applicable laws, rules, and regulations. She incorporates these changes as well as changes to the Code and Standards in the new version and distributes copies to her staff along with a memorandum. The memorandum states that the updated manual includes compliance procedures designed to meet industry standards, regulatory requirements, requirements of the Code and Standards, and circumstances of the firm. According to the Standards of Practice Handbook, did- Heidberg violate any Standard of Professional Conduct? A. No. B. Yes, because compliance procedures may not be designed to meet industry standards. C. Yes, because compliance procedures may not be designed to meet the circumstances of the firm. D. Yes, because compliance procedures may not be designed to meet the CFA Code and Standards. | 
发表于 2007-10-24 18:57
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