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  • Compliance Officer

    • TC-1.1.12

      Individuals holding the position of compliance officer at a licensee must hold relevant experience and qualifications as outlined in Appendix TC-1 as a minimum.

      October 2010

    • TC-1.1.13

      In accordance with Paragraph HC-2.4.3, an employee of appropriate standing must be designated by licensees for the position of compliance officer. The duties of the compliance officer 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.
      October 2010