Schweser Volume 2 Practice Exam 3, Question 23.6 interest

king_kong

I do not understand how the answer is A.

I feel the answer should be B because:
(i) periodic reminders are not strong enough to qualify as education on compliance procedures
(ii) Hundt is the Director of Research and he should not be supervising an investigation - this could be a conflict of interest

ohai

But a director of research should not be part of an investigation - this could be a conflict of interest. Hence the answer should not be A - I confirmed with Schweser.

mp3bu

Doesn't mean he is not stressing on education , he is going over and above that by pro-actively reminding.

As director of research , he is supposed to ensure that research did not miss this one .

I can argue endlessly and so can you .

Incidentally I got this one right , but could have been wrong if CFAI was posing the q's

canadiananalyst

Just got this wrong....looks like periodic updates and education are only a recomendation. Not requirement

Colum

Any thoughts?