单选题
Charles, CFA, is a managing director at NSSI, a regional brokerage
firm. Charles manages the institutional fixed-income desk and is responsible for
20 employees in both the trading and sales departments. Charles recently called
a meeting with the head of trading and the head sales to review the firm's
policies regarding trading by employees in their personal accounts. He
instructed the two to review the information with the employees they supervise.
A week after the meeting, Charles discovered that a sales assistant made
personal trades during a firm "blackout" period on a restricted security.
According to the Standard Ⅳ (C) Responsibilities of Supervisors, the least
appropriate action for Charles to take is:
- A. to speak directly to the employee and attain assurance that the violation
will not be repeated.
- B. begin an investigation to determine the extent of the wrongdoing.
- C. increase the monitoring of the employee's activities at the
firm.