Which of the following are recommended procedures of compliance according to Standard I(D), Misconduct? A) Conduct background checks on potential employees to ensure that they are of good character. B) Enroll employees in a continuing education program that would provide updates on required ethical behavior. C) Require all member employees to sign each year a personal conduct statement ensuring that they act with honesty and integrity at and outside of work. D) All of these choices are correct.
D.
c
The answer is actually A. I thought it was D as well, here is the logic… According to Standard I(D) Misconduct - Procedures for Compliance: Members should encourage their employers to conduct background checks on potential employees to ensure that they are of good character and eligible to work in the investment industry.