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Edwin McNeill, CFA, is a senior trader for Grey Securities. In his monthly review of his team’s activity, McNeill notices a series of suspicious trades by one of the traders. McNeill consults his manager, who agrees that these trades are a potential violation. McNeill informs the trader that her duties will be restricted while these trades are being investigated and refers the matter to Grey’s compliance officer for further action. McNeill has: A. not violated the Standards. B. violated Standard IV(C) – Responsibilities of Supervisors by restricting the trader’s duties before the investigation is completed. C. violated Standard IV(C) – Responsibilities of Supervisors by failing to prevent a potential violation. |