• 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 the licensee s compliance with the requirements of the CBB and other applicable laws and regulations;
      (b) Raising awareness and providing training for the licensee s staff on compliance issues; and
      (c) Reporting to the licensee s Board in respect of that responsibility.
      January 2014