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Schweser Volume 2 Practice Exam 3, Question 23.6
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 |
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发表于 2011-7-13 14:38
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