问题补充:
单项选择题:
According to the Professional Conduct Standards relating to responsibility of supervisors, supervisors are NOT required to:
A. take steps to prevent persons acting under their supervision from violating Jaws, rules, regulations, firm policies, or the Code of Ethics and Professional Conduct Standards. B. contain the firms compliance procedures in a clearly written and accessible manual that is tailored to the firms operations. C. exercise supervisory responsibility to employees who are not CFA Institute members.
答案:
答案:B
解析:对于非CFA会员的员工,也应行使监管责任,因为监管者要求所有员工不管是不是CFA会员,都要行使监管责任。采取措施防止员工违反规定,也是监管者的责任之一。而B是推荐的合规操作流程,并不是必须要采用的。
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