Ms Q
2023-02-14 20:18AMC說(shuō)compliance officer要獨(dú)立于investment和operations，這個(gè)人是co-investment，應(yīng)該是違規(guī)的呀？這道題沒(méi)有勘誤嗎？
所屬：CFA Level III > Ethical and Professional Standards 視頻位置 相關(guān)試題
來(lái)源： 視頻位置 相關(guān)試題
1個(gè)回答
Johnny助教
2023-02-15 10:50
該回答已被題主采納
同學(xué)你好，協(xié)會(huì)原文如下：Managers may designate an existing employee to also serve as the compliance officer, may hire a separate individual for that role, or may establish an entire compliance department. Where possible, the compliance officer should be independent from the investment and operations personnel and should report directly to the CEO or board of directors. 管理者可以任命現(xiàn)有員工來(lái)兼任compliance officer，也可以單獨(dú)雇一個(gè)，也可以建立一個(gè)合規(guī)部門(mén)。條件允許的話，compliance officer應(yīng)該要和投資與運(yùn)營(yíng)人員相獨(dú)立，而且要直接向CEO或者董事會(huì)報(bào)告工作。
這里的爭(zhēng)議點(diǎn)在于，教材說(shuō)的是compliance officer要與投資和運(yùn)營(yíng)“人員"相獨(dú)立，沒(méi)有說(shuō)不允許做投資或運(yùn)營(yíng)工作
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