Standard III (E) - Responsibilities of Supervisors points out that when violations do occur, ________ procedures may be inadequate.
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A. B. C. D.A
If a member has adopted reasonable procedures and taken steps to institute an effective compliance program, then the member may not be in violation of
Standard III (E). The fact that violations do occur may indicate, however, that the compliance procedures are inadequate. Furthermore, a member may be in violation of Standard III (E) if he or she knows that the procedures designed to detect and prevent violations are not being followed.