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並前往https://www.sidley.com/zh-hans/insights/newsupdates/2022/03/finra-issues-regulatory-notice-on-failure-to-supervise-liability-for-chief-compliance-officers

FINRA Issues Regulatory Notice on Failure to Supervise ...

... a senior business manager, expressly or impliedly designates the CCO as having specific supervisory responsibilities on an ad hoc basis.

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