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Reporting the misconduct up the chain of command and

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Reporting the misconduct up the chain of command and warning the employee tocease the activity are also not enough.Should take steps to ensure that the violation will not be repeated, by placinglimits on the employee’s activitiesor increasing the monitoringof the employee’sactivities.1.16.1.8Detection proceduresIf adopted reasonable procedures and took steps to institute an effectivecompliance program, may not violate IV(C) if he does not detect violations thatoccur despite these efforts.May violate IV(C) if he knows or should know that the procedures designed todetect and prevent violations are not being followed.1.16.1.9Enforcement of non-investment-related policies.
52-98此预测为考点预测,考题仅为复习参考内部使用资料,严禁传播,否则追究法律责任Those who have supervisory responsibility should enforce policies related toinvestment and non-investment-related activities equally.Establish policies related to attendance and acceptable workplace actions, such asmandatory vacations for specific positions.1.16.1.10Adequate procedure.Be clearly written and tailored to the firm’s operations;In plain language, easy to understand;Designate a compliance officer;Describe hierarchy of supervision and assign duties among supervisors;Create a system of checks and balances;Outline the scope of the procedures and procedures to document the monitoringand testing of compliance procedures;Outline permissible conduct;Delineate procedure for reporting violations and sanctions.1.16.1.11Once the compliance program is instituted, the supervisor should:Disseminate the contents of the program to personnel;Periodically update procedures to ensure that the measures are adequate underthe law;Continually educate personnel regardingcompliance procedures;Issue periodic reminders of procedures to personnel;Incorporate professional conduct evaluationin employee’s performance review;Review the actions of employees;Take steps to enforce procedures once violation occurred.1.16.1.12Once violation is discovered, a supervisor shouldPromptly respond;Thoroughly investigate to determine the scope of the wrongdoing;Increase supervision or place appropriate limitations on the wrongdoer pendingthe outcome of the investigation.1.16.2基础题Francesca Ndenda, CFA, and Grace Rutabingwa work in the same department for NewQ-57.Age Managers, with Rutabingwa reporting to Ndenda. Ndenda learns that Rutabingwareceived a Notice of Enquiry from the Professional Conduct Program at CFA Instituteregarding a potential cheating violation when she sat for the CFA exam in June. AsRutabingwa's supervisor, Ndenda is afraid that Rutabingwa's behavior will be seen as aviolation of the Code and Standards. Does Ndenda most likely have cause for concern?
53-98此预测为考点预测,考题仅为复习参考内部使用资料,严禁传播,否则追究法律责任(1906百题)A.Yes.

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Term
Spring
Professor
linrui xiao
Tags
professional conduct, analyst, CFA Institute, Chartered Financial Analyst

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