Chartered Financial Analyst Level 2
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28 Beatrix Kang, CFA, is the new chief compliance officer at CV Investments (CVI), a large investment firm. Kang reviews the firm's compliance procedures and believes they are adequate. She does identify the need to update the electronic signature section in these procedures. She assigns Ben Lee, CFA, to review all staff electronic signatures. After Lee's review, Kang provides clear, written guidelines for acceptable electronic signature usage and integrates the updated section into CVI's Code of Ethics.
According to the Standards, Kang should have:
28 Beatrix Kang, CFA, is the new chief compliance officer at CV Investments (CVI), a large investment firm. Kang reviews the firm's compliance procedures and believes they are adequate. She does identify the need to update the electronic signature section in these procedures. She assigns Ben Lee, CFA, to review all staff electronic signatures. After Lee's review, Kang provides clear, written guidelines for acceptable electronic signature usage and integrates the updated section into CVI's Code of Ethics.
According to the Standards, Kang should have:
Exam-Like
A
declined in writing to accept supervisory responsibility.
B
separated the updated section from the Code of Ethics.
C
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