微信扫一扫
实时资讯全掌握
| A manager has pointed out that his firm has experienced significant expansion over the past few years. Until recently, its Legal Department was responsible for the firm's compliance activities. Now, however, the legal and compliance functions have been separated. A compliance officer has been formally designated and a comprehensive compliance program has been put in place.
In order to function effectively, the compliance officer must have the authority: A. to hire and fire personnel. B. which is consistent with the most senior partner or executive officer in the firm. C. to affect, control, and guide employee behavior and to respond to employee misconduct. |