Question

. An individual is asked to assume a supervisory role but there are not adequate structural and procedural controls in place. The individual should: A. refuse the role until adequate changes are made. B. assume the role but document any deficiencies in writing to a superior. C. assume the role and report the deficiencies to the compliance department.

Answer 1

Answer:

Q. An individual is asked to assume a supervisory role but there are not adequate structural and procedural controls in place. The individual should:

refuse the role until adequate changes are made.

assume the role but document any deficiencies in writing to a superior.

assume the role and report the deficiencies to the compliance department.

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