官网这个题
Eighteen 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.
Question
With respect to its current compliance officer, do Twain’s actions and procedures most likely comply with the recommendations and requirements of the Asset Manager Code of Professional Conduct?
- No, with regard to reporting to the CEO.
- Yes.
- No, with regard to independence.
Solution
C is correct. According to the recommendations and guidance in the Asset Manager Code the compliance officer should be independent of any investment and operations personnel.
要求合规官要独立，但是在2022年mock中：
Guerriere appointed a current employee at the firm, Alex Dziadosz, CFA, as chief compliance officer. Dziadosz also retains his duties to underwrite potential funds and coinvestments.
也是被允许的，
请问这个合规官的独立性怎么定义？谢谢
