SDin
2022-05-03 20:49根據(jù)AMC，compliance officer究竟能不能由公司內(nèi)部人員兼任？有的題說"Depending on the size and complexity of the Manager'soperations, Managers may designate an existing employee to also serve as thecompliance officer, may hire a separate individual for that role" 有的題說“compliance officer should be independent of any investment and operations personnel.”
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(gè)回答
Chris Lan助教
2022-05-04 10:21
該回答已被題主采納
同學(xué)你好
根據(jù)AMC的規(guī)定，合規(guī)官可以內(nèi)部指派。但是此人必須獨(dú)立于運(yùn)營(yíng)和投資。
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