问题 单项选择题

All of the following are poor examples of supervisory responsibility EXCEPT:()

A. Proper supervision is not exercised because the supervisor’s income is partially based on unsupervised or improper trading activity.

B. Poor procedures allow a portfolio manager to designate a trade to an account or portfolio after the outcome of the trade is known.

C. Incorporating a professional conduct evaluation as part of an employee’s performance review.

答案

参考答案:C

解析:

According to Standard Ⅳ (C), supervisors must make reasonable efforts to detect and prevent violations of laws, rules, regulations, and the Code and Standards by anyone under their authority. Incorporating a professional conduct evaluation as part of an employee’s performance review is a recommended compliance procedure.

单项选择题
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