Oliverbug2020-11-03 17:08:01

07.单选题 已收藏 标记 纠错 Kate Kally, CFA, manages several hundred employees as the head of research for a large investment advisory firm. Kate, as a former securities regulatory official until recently, ensured that his department’s compliance program always met or exceeded those of its competitors. Kate has delegated his supervisory responsibilities concerning compliance issues to Sucy Chen. Kate informed Sucy that her responsibilities include ensuring that the firm has appropriate compliance procedures and is making reasonable efforts to detect and prevent violations of Rules, Regulations, and the Code and Standards. Kate most likely violated the CFA Institute Standards of Professional Conduct by not telling Sucy to consider: A Firm policies. B Industry standards. C Legal restrictions. 这题选A，好像两个答案有冲突？