CFA Practice Question

There are 361 practice questions for this study session.

CFA Practice Question

A member with supervisory responsibilities violates the CFA Institute Standards of Professional Conduct if the member fails to ______.
A. prevent violations of the law
B. establish and implement written compliance procedures
C. prevent violations of the CFA Code and Standards
Explanation: Members with supervisory responsibility must make reasonable efforts to detect violations of laws, rules, regulations, and the Code and Standards. They exercise reasonable supervision by establishing and implementing written compliance procedures.

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