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答案和详解如下:

Q3. C  07 Modular Level I. vol. l,  pp.75-79   Study Session l-2-a

If a member cannot discharge supervisory responsibilities because of the absence of a compliance system or because of an inadequate compliance system, the member should decline in writing to accept supervisory responsibility until the firm adopts reasonable procedures to allow the member to adequately exercise such responsibility.

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上一主题:[CFA level 1模拟真题]Version 1 Questions-Q15
下一主题:[CFA模拟真题] 2006 CFA Level I -NO46