Investigation

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yahyah1

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Do you warn the employee first or take actions to curb future issues?
 
Oh. one of the question in the AM section............. Should be Taking action first. It is mentioned in the CFAI handbook..........And warning is totally USELESS referred by handbook.
 
yup me too. just warning the employee is not enough. the actions of the employee needs to be curbed.
 
i believe that actions should be taken to prevent future issues?
 
Absolutely, have to curb the employees activities until the results of the investigation are complete.
 
is that the same as preventing future issues from occurring?
 
Yes, that is how I took it, he is being proactive in preventing future breaches...
 
mwvt9 Wrote:
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> Yes, that is how I took it, he is being proactive
> in preventing future breaches...


yup that's what i think. even taking assurance from the concerned employee is not sufficient because there is a probability that others might also commit the same mistake.
 
And also, the key is not just a particular employee, but the whole system might possibly flaw to prevent any violation occured.
 
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