Responsibilities of Compliance Officers in Supervision

Easy Cfa Institute Code And Standards Employer Duties - Supervision

As a compliance officer at a financial advisory firm, you are tasked with overseeing the activities of several investment analysts. According to the CFA Institute's Code of Ethics and Standards of Professional Conduct, what is your primary responsibility regarding the supervision of these analysts?

To provide the analysts with the freedom to execute their strategies without oversight.

To establish a system to monitor their activities and ensure they comply with legal and ethical standards.

To review all investment decisions made by the analysts prior to execution.

Hint

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