Joe
2022-04-30 10:16Eighteen months later, the compliance officer resigns. Rather than hire an external replacement, management designates one of Twain's senior portfolio managers as the new compliance officer. The compliance officer reviews both firm and employee transactions and reports to the CEO rather than to the board of directors. 老師，百題case里這段話，答案認(rèn)為違反了AMC，理由是合規(guī)官獨立性受影響。具體到材料看，是不是“the compliance officer reviews both firm and employee transanctions”這里錯了？因為report方面沒有錯；另外，根據(jù)AMC規(guī)則，designate an existing employee to serve as the compliance officer也是可以的。所以除了review both firm and employee transactions，其他沒有錯誤的地方了吧？
所屬：CFA Level III > Ethical and Professional Standards 視頻位置 相關(guān)試題
來源： 視頻位置 相關(guān)試題
1個回答
Chris Lan助教
2022-05-02 13:46
該回答已被題主采納
同學(xué)你好
最后一句話，錯在management designates one of Twain’s senior portfolio managers as the new compliance officer.
AMC中規(guī)定，合規(guī)官員應(yīng)該獨立于任何投資和運營的人員，也就是說合規(guī)官可以來自公司內(nèi)部，但這個人不能是做投資和運營的人員。
因為這樣合規(guī)官就是在監(jiān)督自己的工作，相當(dāng)于即是球員又是裁判，這種情況下，監(jiān)管的獨立性就不強(qiáng)的。
這里他沒有指派外部人員，他的措辭是ather than hire an external replacement, 因此他是沒有請外部人員的。合規(guī)官檢查了公司和個人的交易這里沒錯的。
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