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  • Compliance Officer

    • TC-1.1.13 [deleted]

      [Paragraph deleted in January 2011].

      Deleted: January 2011

    • TC-1.1.14

      In accordance with Paragraph AU-1.2.16, an employee of appropriate standing must be designated by investment firm licensees for the position of compliance officer. The duties of the compliance officer, who must have Bahraini residency, are outlined in more details in Section HC-6.5 and include:

      (a) Having responsibility for oversight of the licensee's compliance with the requirements of the CBB; and
      (b) Reporting to the licensee's Board in respect of that responsibility.
      Amended: April 2011
      Adopted: July 2010