bmaggie

Which of the following statements about Standard IV(C) Responsibilities of Supervisors is least accurate?

A) If a subordinate violates a securities law, her supervisor is in violation of Standard IV(C).

B) If the supervisor makes a reasonable effort to detect violations, but fails to detect a violation that occurs, she is in compliance with Standard IV(C).

C) If no effort is made to detect violations, the supervisor is in violation of Standard IV(C) even if no violations by her subordinates have occurred.

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Standard IV(C) Responsibilities of Supervisors requires members to make a reasonable effort to detect violations by their subordinates. Violations by subordinates do not necessarily mean the supervisor has violated this Standard.