Can he be appointed by management AND reportible to CEO?
Isnt this a violation?
CEO is Management. So the CEO can appoint the Compliance Officer and he reports to CEO. All fine. The key is that Compliance shouldn’t report to Head of Trading or PM.
Can he be appointed by management AND reportible to CEO?
Isnt this a violation?
CEO is Management. So the CEO can appoint the Compliance Officer and he reports to CEO. All fine. The key is that Compliance shouldn’t report to Head of Trading or PM.