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C. Responsibilities of Supervisors.
#analyst-notes #code-of-ethics-and-standards-of-professional-conduct #iv.-duties-to-employers
You must make reasonable efforts to detect and prevent violations of applicable laws, rules, regulations, and the Code and Standards by anyone subject to your supervision or authority.

If you supervise large numbers of employees, you may not be able to evaluate each. In this case, you may delegate supervisory duties; however, such delegation does not replace supervisory responsibilities.

A supervisory member should rely on reasonable procedures to detect and prevent violations. The presence of a compliance policy manual and/or compliance department, however, does not remove his or her supervisory responsibilities.
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