答案和详解如下： Q7. A) Both Luck and Long violated the procedures for compliance. B) Luck violated the procedures for compliance, but Long did not. C) Neither Luck nor Long violated the procedures for compliance. Correct answer is A) Long violated the procedures for compliance involving her supervisory responsibility by not tailoring the compliance manual to Hawthorne's operations and by not distributing the contents of the program to appropriate personnel. Luck also violated the procedures for compliance by not responding promptly to the allegation that Trout violated the CFA Institute standard involving priority of transactions and by not increasing supervision on Trout pending the outcome of the investigation. Q8. Correct answer is A) If Crane believes the current procedures are not adequate, Crane must refuse the supervisory responsibilities in writing until an adequate system is adopted. There is nothing in the Standards about circulating a petition. Q9. Correct answer is B) Standard IV(C), Responsibilities of Supervisors, permits Tripp to delegate supervisory duties to Green, Brown, or both, but such delegation does not relieve Tripp of his supervisory responsibility. Q10.Correct answer is A) As a CEO, Berger is responsible for implementing and maintaining appropriate compliance procedures. He must also ensure the procedures are monitored and enforced. | 
发表于 2009-5-22 02:21
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