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CFA考试Level Ⅰ

【单选题】

Robert Blair, CFA, Director of Research, has had an ongoing battle with his firm's management about the adequacy of its compliance system.Blair believes the firm's compliance procedures are inadequate in that they are not being monitored or carefully followed.Blair should most appropriately.

A.resign from the firm unless the compliance system is sdivengthened and followed.

B.send his superior a memo outlining the problem.

C.decline in writing to continue to accept supervisory responsibility until reasonable compliance procedures are adopted.

答案：C

【解析】According to Standard IV(C) Responsibilities of Supervisors, because he is aware that the firm's compliance procedures are not being monitored and followed and because he has repeatedly tried to get company management to correct the situation, Blair should decline supervisory responsibility until adequate procedures to detect and prevent violations of laws, regulations, and the Code and Standards are adopted and followed.If he does not do so, he will be in violation of the Code and Standards.