MIR-4.17.2
Past version: Effective from 15 Dec 2009 to 31 Mar 2013
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In accordance with rule MIR-4.17.1:
(a) The Compliance Officer should be competent and knowledgeable regarding the CBB Law, rules and regulations, as well as the business rules of the SRO and the various applicable Volume 6 Modules;
(b) The Compliance Officer shall:
1. monitor the transactions undertaken by the member, its representatives, or participants ;
2. identify disorderly transactions or conduct that may involve market abuse or disruption;
3. identify and monitor transactions undertaken by insiders dealing through or with the member ;
4. identify any breach of CBB Law, rules and regulations;
5. identify any breach of the rules of the SRO ;
(c) The Compliance Officer shall on the identification of any breach referred to in paragraph MIR-4.17.2 (b), report such breach to the CBB without delay for the investigation and prosecution of market abuse and shall provide full assistance to the latter in investigating and prosecuting market abuse occurring on or through the member .
Adopted January 2010