Sarah Wang, CFA, is a vice president in Dragon Securities, an international brokerage firm. She has determined that Dragon has established adequate compliance program designed to detect and prevent violations of applicable laws, rules, regulations, and the Code of Ethics and Professional Conduct Standards. Given that a compliance program is in place, which of the following actions is least likely included in the list of recommended compliance procedures according to the Standards of Practice Handbook()
A. Continually educate personnel regarding the compliance procedures.
B. Test employees on their knowledge and understanding of the compliance procedure.
C. take necessary steps to enforce the procedures once a violation has occurred.
参考答案:B
解析:
测试员工对于该合规性项目的知识和理解,并不是推荐的监管者应有的做法。