In which case should an investigator avoid escalating a suspicious event to the chief compliance officer and pursue other channels?

An investigator should avoid escalating a suspicious event to the chief compliance officer if there is a

potential conflict of interest, such as when a close family member of the officer is involved in the

transaction. In such a case, the investigator should pursue other channels, such as reporting to a

higher authority or an independent committee. The other options do not present a conflict of

interest and should be escalated to the chief compliance officer as part of the normal procedure.

Reference: Advanced CAMS-FCI Certification Handbook, page 18.