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标题: [2007 CFA level 1]模拟真题：Version 5 Questions－Q5 [打印本页]

作者: cfaedu 时间: 2007-10-24 18:57 标题: [2007 CFA level 1]模拟真题：Version 5 Questions－Q5

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.

作者: cfaedu 时间: 2007-10-24 19:04

答案详解如下：

Q5. A. Study Sessions 1-2-a

Heidberg committed no violation, According to Standard IV (D) Duties to Employers; Responsibilities of Supervisors, "adequate" procedures are those designed to meet industry standards, regulatory requirements, the requirements of the Code and Standards, and the circumstances of the firm, The Standard requires that members with supervisory authority make reasonable efforts to prevent violations of applicable laws, rules, regulations, and the Code and Standards.

作者: liquidn 时间: 2007-10-24 20:25

？

作者: fantasy_ln 时间: 2007-11-3 20:45

11

作者: technet 时间: 2007-11-5 16:12

a

作者: ondesert 时间: 2007-11-14 14:18

d

作者: roger88 时间: 2007-11-20 02:29

d

作者: 一只船 时间: 2007-11-20 10:53 标题: e

e

作者: Linda_SCB 时间: 2007-11-21 19:50

c

作者: yangyangda 时间: 2007-11-22 00:22

作者: BeyondCFA 时间: 2007-11-23 13:42

a

作者: irismay 时间: 2007-11-24 23:11

thanks

作者: uuu571 时间: 2007-11-25 15:48

a

作者: ymmjan 时间: 2007-11-28 16:52

thanx

作者: mecca 时间: 2007-11-28 20:56

zz

作者: obscurer 时间: 2007-11-28 20:59

c

作者: cghui 时间: 2007-11-29 10:54

a

作者: whmanutd 时间: 2007-11-30 01:12

a

作者: reevesyang 时间: 2007-11-30 03:19

aaa

作者: fenggx 时间: 2007-11-30 06:29

A

作者: jimmysfu 时间: 2007-11-30 09:10

kk

作者: ironmind 时间: 2007-11-30 20:39

a

作者: pwmho 时间: 2007-12-15 10:52

TY

作者: deanleon 时间: 2008-3-19 16:32

see

作者: zjl0808 时间: 2008-3-19 16:59

a

作者: jordan999 时间: 2008-3-25 11:31

ok

作者: jordan999 时间: 2008-3-25 11:34

ok

作者: kkcchan 时间: 2008-3-25 17:21

A

作者: hjjj103 时间: 2008-3-25 22:26

选取D

作者: yuzheng 时间: 2008-3-25 23:20

why

作者: hichris 时间: 2008-4-2 12:08

D

作者: hichris 时间: 2008-4-2 16:06

d

作者: zyhaissx 时间: 2008-4-2 17:07 标题: b

b

作者: YJHZM 时间: 2008-4-2 17:15

?

作者: cfa003 时间: 2008-4-6 06:11

A

作者: winterl 时间: 2008-4-9 15:44

see

作者: lucylu 时间: 2008-4-9 15:49

3x

作者: yangchang 时间: 2008-4-9 15:50

作者: luweipiero 时间: 2008-4-9 19:36

a

作者: 白切地瓜 时间: 2008-4-9 22:00

Thank you very much

作者: road234 时间: 2008-4-10 10:55

a

作者: lee_ruc 时间: 2008-4-10 22:43

h

作者: wj_cathy 时间: 2008-4-11 20:15

s

作者: macoro 时间: 2008-4-12 19:51

a

作者: parkers 时间: 2008-4-13 21:08

rr

作者: birred 时间: 2008-4-13 22:17

dd

作者: liten333 时间: 2008-4-18 11:09

a

作者: clover 时间: 2008-6-3 19:35

a

作者: oleander 时间: 2008-6-4 02:29

a

作者: vivivin 时间: 2008-6-20 10:41

re

作者: elea0930 时间: 2008-11-4 01:00

a

作者: wfxjacky 时间: 2008-11-4 01:23

aa

作者: qiangwei 时间: 2008-11-21 07:13

3

作者: duo1115 时间: 2009-3-8 17:51

a

作者: bjms912224 时间: 2009-3-11 11:31

a

作者: jiguobiao 时间: 2009-3-11 21:51

A

作者: merlinna 时间: 2009-3-27 06:18

 c

作者: tomathome 时间: 2009-10-28 08:56

b

作者: suhulijing 时间: 2009-11-13 16:48

thanks

作者: zuelpich 时间: 2009-11-16 23:59

c

作者: xxjj564 时间: 2011-3-10 12:30

 a

作者: Vanish_ash 时间: 2011-5-4 10:19

 a

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