当前位置： 找题吧 >  CFA特许金融分析师 CFA考试LevelⅠ
[单选题]

For years John Berger, a CFA charterholder and CEO of a company, relied upon a set of reasonable procedures for preventing violations of the Code and Standards of Professional Conduct in the firm. To not be liable for a violation of the Standards, Berger must:

A.Do nothing more than have the set of procedures in place as stated.

B.Periodically review the procedures.

C.Both periodically review the procedures and ensure the procedures are monitored and enforced.

参考答案与解析：

相关试题

John Maginn, an investment researcher, who is a CFA charterholder, takes a trip for which his firm w

[单选题]John Maginn, an investment researcher, who is a CFA charterholder, takes a

  • 查看答案

    • At last John Smith stepped down as the company’s CEO and returned to his roots in software rese

    [单选题]At last John Smith stepped downas the company’s CEO and returned to his roo

  • 查看答案

    • Prudence Charmaine, a CFA charterholder, was recently accused in writing of cheating on a profession

    [单选题]Prudence Charmaine, a CFA charterholder, was recently accused in writing of

  • 查看答案

    • Peter Taylor, a CFA charterholder and a food industry analyst for a large investment firm, has been

    [单选题]Peter Taylor, a CFA charterholder and a food industry analyst for a large i

  • 查看答案

    • James Woods, CFA, is a portfolio manager at ABC Securities. Woods has reasonable grounds to believe

    [单选题]James Woods, CFA, is a portfolio manager at ABC Securities. Woods has reaso

  • 查看答案

    • Your company CEO just sent you an E-mail

    [单选题]Your company CEO just sent you an E-mail asking you to make a … on your project , which has been in progress for 10 months , to all Identified internal and external stakeholders. He scheduled the presentation for next Monday.You expect more th

  • 查看答案

    • James Simone, CFA, the CFO of a publicly listed company, seeks to improve the quality of his company

    [单选题]James Simone, CFA, the CFO of a publicly listed company, seeks to improve t

  • 查看答案

    • Our company has 30years’ experience（）the

    [单选题]Our company has 30years’ experience（）the machinery line.A . onB . inC . aboutD . of

  • 查看答案

    • Ann Smith, CFA, calls Bill Jones, CFA, and tells him that her research shows that Biokem Company is

    [单选题]Ann Smith, CFA, calls Bill Jones, CFA, and tells him that her research show

  • 查看答案

    • B Three years ago, five parrots were set

    [单选题]B．Three years ago, five parrots were set free in a wild place of Arizona, thousands of miles from the Channel Islands in Jersey where they had been looked after by zookeepers. No evolutionary strategies informed them how to behave in this new landsca

  • 查看答案

    • For years John Berger, a CFA charterholder and CEO of a company, relied upon a set of reasonable pro