请较原版书 ETHICAL P119-32题 provided, relating, because, correct, members

Mechanic

32. With respect to the Standard relating to responsibilities of supervisors, which of the following
statements is least appropriate? According to the Standards of Practice Handbook, members with
supervisory responsibilities should encourage their employers to adopt codes of ethics that:
A. are provided to the firm’s clients.
B. are applicable to all the firm’s employees.
C. incorporate the firm’s compliance procedures.
Solution：
Answer: C is correct because the SOPH states, “Standalone codes of ethics should be written in
plain language and address general fiduciary concepts, unencumbered by numerous detailed
procedures directed to the day-to-day operations of the firm.” A and B are incorrect because these
actions and qualities are specifically supported in the SOPH.

不太明白这道题的意思，烦请解释一以下

dmrktrading

这道题的意思是，负有监管责任的员工需要鼓励雇主将企业规章包括在企业的合规程序中去。

这项准则的要点如下：

1.企业应该建立充分的监管体系，如果因为体系不充分，一旦员工发生职务性违规，监管者也将负有监管责任；
2.监管者可以下放监管权限，但是不能免除监管责任；
3.如果企业没有充足的监管体系，负有监管责任的员工在不能免除责任的情况下，应该书面拒绝履行职责，直到体系建立；
4.一旦发现违规，应该立即启动调查程序，采取充分的措施，以防止类似情况不再发生，比如，缩小权限、加强监管、纪律处分等，仅仅提醒或警告是不够的；
5.在有充分监管程序且尽职的情况下，如果是由于员工的隐瞒或欺骗而使监管者没有发现违规，监管者不负责任；
6.监管者仅对职责范围内的违规行为负责。