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作者: Colum 时间: 2011-7-13 14:38
Any thoughts?作者: canadiananalyst 时间: 2011-7-13 14:38
Just got this wrong....looks like periodic updates and education are only a recomendation. Not requirement作者: mp3bu 时间: 2011-7-13 14:38
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作者: ohai 时间: 2011-7-13 14:38
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.
