Compliance Officer
TC-1.1.9
In accordance with Paragraph AU-1.2.12, an employee of appropriate standing must be designated by the
licensee for the position of compliance officer. The duties of the compliance officer include:(a) Having responsibility for oversight of thelicensee s compliance with the requirements of the CBB and other applicable laws and regulations;(b) Raising awareness and providing training for thelicensee s staff on compliance issues; and(c) Reporting to thelicensee s Board in respect of that responsibility.January 2014