SIDC Module 11 Practice Questions - SC Licensing Examination Module 11 - Fundamentals Of Compliance Exam

Why is independence of the compliance function considered a fundamental principle of good compliance governance?

So compliance can approve all trades faster So compliance can report breaches objectively without being overruled by the business it monitors So compliance can replace the internal audit function So compliance staff can avoid reporting to the board

Correct Answer:

So compliance can report breaches objectively without being overruled by the business it monitors

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