Joe2022-04-30 10:16:05

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. 老师，百题case里这段话，答案认为违反了AMC，理由是合规官独立性受影响。具体到材料看，是不是“the compliance officer reviews both firm and employee transanctions”这里错了？因为report方面没有错；另外，根据AMC规则，designate an existing employee to serve as the compliance officer也是可以的。所以除了review both firm and employee transactions，其他没有错误的地方了吧？