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.

【正确答案】 A

【答案解析】[解析] 根据执业操守标准Ⅳ(C)的相关规定，负有监督责任的会员一旦发现某名公司雇员违反或可能违反了相关法律法规或执业操守标准，则应当立即展开对该雇员有关行为的调查，以确认该雇员的违规程度。根据调查所得出的结果，会员应当采取必要的措施确保上述违规行为不再发生，例如对违规员工的业务活动加以限制，或增加对该员工业务活动的审核。
需要强调的是，根据执业操守标准的要求，会员仅采取以下行为是远远不能满足要求的：(1)仅根据一名雇员对违规程度的口头陈述或对不再发生类似违规行为的保证而得出相关结论；(2)将员工的上述不当行为报告公司上级；(3)警告该员工应立即终止上述违规行为。