EPIC ADVISERS DID NOT HAVE A COMPLIANCE DEPARTMENT, BUT DID HAVE A...

3. - CFA 2018 EXAM LEVEL 3 DA4387 LEVEL III CFA MOCK EXAM 2018 AFTERNOON A
CFA 2018 EXAM LEVEL 3 DA4387 LEVEL III CFA MOCK EXAM 2018 AFTERNOON A

3. Epic Advisers did not have a compliance department, but did have a senior

manager identified as chief compliance officer (CCO). The CCO was aware of

the style drift and increase in concentrated risks at the fund and reported these

findings to the CEO and board of Epic Advisers.