Canadian Commodity Supervisor’s Qualifying Examination (CCSE)

Question: A commodity trading firm is assessing its compliance with gatekeeper obligations under Canadian securities regulations. The firm has identified a potential conflict of interest involving a senior trader who is also a significant shareholder in a company whose stock is being traded. The firm’s compliance officer is tasked with evaluating the situation. Which of the following actions best exemplifies the firm's supervisory function in addressing this conflict of interest while adhering to the gatekeeper obligations outlined in the Canadian Securities Administrators (CSA) guidelines?