荣同学2024-02-04 21:24:12
荣同学compliance officer的兼任问题
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Wang2024-02-05 11:37:17
Wang同学你好，以下是原版书中对compliance officer的解释。所以大家对内部指定某人做compliance officer的理解就是兼职（also serve as compliance officer)，除非特别说明是专职去做。
另外，原版书也提到：“Ideally, the supervisor or compliance officer responsible for communicating information to a firm’s research or brokerage area would not be a member of that area.”所以portfolio manager不能担任compliance officer.
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