单选题
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.
【正确答案】
C
【答案解析】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.