【每日一练】CFA 一级（2015年）

Question：

Madeline Smith, CFA, was recently promoted to senior portfolio manager. In her new position, Smith is required to supervise three portfolio managers. Smith asks for a copy of her firm's written supervisory policies and procedures but is advised that no such policies are required by regulatory standards in the country where Smith works. According to the Standards of Practice Handbook, Smith's most appropriate course of action would be to:

A. decline to accept supervisory responsibility until her firm adopts procedures to allow her to adequately exercise such responsibility.

B. require the employees she supervises to adopt the CFA Institute Code of Ethics and Standards of Professional Conduct.

C. require her firm to adopt the CFA Institute Code of Ethics and Standards of Professional Conduct.

Answer = A

According to guidance for Standard (IV(C), if a member cannot fulfill supervisory responsibilities because of the absence of a compliance system or because of an inadequate compliance system, the member should decline in writing to accept supervisory responsibility until the firm adopts reasonable procedures to allow the member to adequately exercise such responsibility.

CFA Level I

"Guidance for Standards I-VII," CFA Institute

Standard IV(C)

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