CFA Practice Question

CFA Practice Question

Which of the following is incorrect?
A. A supervisor, after putting in place a compliance program, should incorporate a professional conduct evaluation as part of an employee's performance review.
B. A supervisor, after putting in place a compliance program, should review the actions of appropriate personnel to ensure compliance and identify violations.
C. A supervisor, after putting in place a compliance program, should set up a program for rewarding employees who report violations by other employees.
Explanation: Nobody wants paranoid employees who suspect their colleagues are spying on them.

User Contributed Comments 1

User Comment
Mikehuynh After putting compliance program, better:
- evaluate performance
- review actions of employees
- no need to report to regulators (recommendation not requirement)
- no need to reward
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