答案和详解如下： Q12. Which of the following statements about Standard IV(C), Responsibilities of Supervisors, is FALSE? CFA Institute members with supervisory authority: A) may delegate supervisory duties, which relieves them of their supervisory authority. B) are expected to bring an inadequate compliance system to the attention of the firm's senior managers and recommend corrective action. C) are expected to have in-depth knowledge of the Code and Standards and to apply this knowledge in discharging their supervisory responsibilities. Correct answer is A) Standard IV(C) permits members to delegate supervisory duties but such delegation does not relieve members of their supervisory responsibility. Q13. Wanda Kirby, CFA, recently joined Allegheny Investments as a senior analyst. Because of her extensive experience in the investments business and knowledge of the Code and Standards, Allegheny's management asked her to assume supervisory responsibility. Kirby reviewed Allegheny's existing compliance system and determined that it was inadequate to allow her to clearly discharge her supervisory responsibility. According to CFA Institute Standards, Kirby should: A) agree to accept supervisory responsibility provided that Allegheny adopts reasonable procedures to allow her to adequately exercise such responsibility. B) agree to accept supervisory responsibility and to develop reasonable procedures to allow her to adequately exercise such responsibility. C) decline in writing to accept supervisory responsibility until Allegheny adopts reasonable procedures to allow her to adequately exercise such responsibility. Correct answer is C) If Kirby clearly cannot discharge supervisory responsibilities because of an inadequate compliance system, she should decline in writing to accept supervisory responsibility until Allegheny adopts reasonable procedures to allow her to adequately exercise such responsibility.
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发表于 2009-1-12 16:57
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