Sean Dahib, CFA, is in charge of the compliance program at his investment firm. According to the Standards of Practice Handbook, as a supervisor, Sean should least likely perform which of the following activities（）
A: Respond promptly to all violations.
B: Disseminate the contents of the program to all personnel.
C: Periodically update the procedures to ensure that the measures are adequate under the law.
A: Respond promptly to all violations.
B: Disseminate the contents of the program to all personnel.
C: Periodically update the procedures to ensure that the measures are adequate under the law.
举一反三
- The Standards of Practice Handbook is least likely to require a member of member’s firm to disclose which of the following to clients and prospective clients（） A: Underwriting relationships. B: Market-making activities. C: Obligation to abide by CFA Institute Code of Ethics and Standards of Professional Conduct.
- Which of the following organizations is least likely involved with enforcing compliance with financial reporting standards A: Financial Service Authority (FSA). B: Securities and Exchange Commission (SEC). C: International Accounting Standards Board (IASB).
- According to the Practice of Handbook, when an inquiry into a member's professional conduct is initiated, which of the following most likely initially conducts the investigation that may include requesting a written explanation form the member or candidate A: The CFA Institute Designated Officer. B: The Disciplinary Review Committee. C: The CFA Institute Professional Conduct staff.
- All except which one of the following are good ways to acquire money for starting an investment program? A: pay bills first, and then save a reasonable amount of money for investment B: participate in an elective savings program offered by your employer C: make a special savings effort one month per year D: borrow money specifically for investment purposes E: take advantage of gifts, inheritances, and windfalls
- Sean’s ______(perform) at school has greatly improved..