Xavier Brown, CFA, is responsible for overseeing the project to ensure its timely completion. Brown enlists the compliance department to review the programming during the initial development phase and identify any potential problems. The compliance department compares the order-handling function of the new system to the third-party software currently in use. They identify several potential problems, including delays in execution of certain large market orders and embedded markups and markdowns on stocks in which the firm makes a market. According to the compliance department, changes are necessary to comply with regulatory requirements.
分析一下对应信息点:(即我划线的两处)
- 合规部门检查时发现了潜在问题-->说明Brown的监管不到位
- 这个change是合规部门发现的,然后合规部门提出来的,并不是Brown提出来的-->说明Brown的监管不到位,所以合规部门要求change