标题: Compliance officer vs Supervisor in Ethics [打印本页] 作者: LiquidAssets10 时间: 2013-4-28 10:25 标题: Compliance officer vs Supervisor in Ethics
Guys
I am not able to understand when one has to report to compliance officer and when to supervisor like in this question
Kenny Barrett, CFA, is working in the Australian office of American Investments Co. From an informal conversation, Barrett learns that the company’s most recent investment report was based on misappropriated information. No one at the Australian office expresses concern, however, because there has been no breach of Australian law. Barrett should:
A) do nothing because the branch is outside of U.S. jurisdiction.
B) seek advice from company counsel to determine appropriate action.
C) disassociate himself from the case with a written report to his supervisor.作者: Roflnadal 时间: 2013-4-28 10:25
First supervisor, then compliance. You proceed in the right pecking order.
If the compliance officer shrugs it off, then dissociate.作者: Mechanic 时间: 2013-4-28 10:25
