[单选题]

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.Incorporate a professional conduct evaluation as part of an employee's performance review.

参考答案与解析:

相关试题

Sisse Brimberg, CFA is responsible for performance presentations at her investment firm. The present

[单选题]Sisse Brimberg, CFA is responsible for performance presentations at her inv

  • 查看答案
  • Robert Miguel, CFA, is a portfolio manager for a large investment advisory firm. In appreciation of

    [单选题]Robert Miguel, CFA, is a portfolio manager for a large investment advisory

  • 查看答案
  • Kelly Stargate, CFA, runs a small investment management firm. Kelly's firm subscribes to a serv

    [单选题]Kelly Stargate, CFA, runs a small investment management firm. Kelly's firm

  • 查看答案
  • Ruth Brett, a Level I CFA candidate, is a research analyst for a large investment firm. Due to a dem

    [单选题]Ruth Brett, a Level I CFA candidate, is a research analyst for a large inve

  • 查看答案
  • Stian Klun, CFA is preparing a brochure to advertise his firm. The brochure includes the following d

    [单选题]Stian Klun, CFA is preparing a brochure to advertise his firm. The brochure

  • 查看答案
  • Rob Elliott, a CFA candidate, is an analyst with a large asset management firm. His personal portfol

    [单选题]Rob Elliott, a CFA candidate, is an analyst with a large asset management f

  • 查看答案
  • Whenever an investment management firm presents investment performance in compliance with the Global

    [单选题]Whenever an investment management firm presents investment performance in c

  • 查看答案
  • 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
  • Jan Loots, CFA, quit his job as a portfolio manager at an investment firm with whom he had a non- so

    [单选题]Jan Loots, CFA, quit his job as a portfolio manager at an investment firm w

  • 查看答案
  • Jan Loots, CFA, quit his job as a portfolio manager at an investment firm with whom he had a non-sol

    [单选题]Jan Loots, CFA, quit his job as a portfolio manager at an investment firm w

  • 查看答案
  • Sean Dahib, CFA, is in charge of the compliance program at his investment firm. According to the Sta