Research department of large brokerage firm

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Reference no: EM133662133

Question

Dana heads the research department of a large brokerage firm. The firm has many analysts,some of whom are CFA Institute members subject to the Code and Standards. Which statementbest describes Dana's ability to delegate her supervisory responsibilities under the Code andStandards?

A. Dana cannot delegate supervisory responsibility to others within the firm. B. Dana can delegate supervisory responsibility only to those subordinates who are subject to the Code and Standards. C. Dana can delegate supervisory responsibility after providing training to the subordinates on methods for promoting compliance.

Reference no: EM133662133

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