Leo
2023-08-31 20:33第1問,investigating complaints regarding the conduct of GA’s personnel,這個(gè)合規(guī)總監(jiān)要做的事情嗎?investigating不應(yīng)該是由staff來做嗎
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
Johnny助教
2023-09-01 09:58
該回答已被題主采納
同學(xué)你好,這個(gè)是合規(guī)官需要做的事情,其職責(zé)是responsible for administering the policies and procedures and for investigating complaints regarding the conduct of the Manager or its personnel. 所以investing regarding the conduct of the personnel是屬于合規(guī)官的工作
