MAE-5.3.6
In accordance with Paragraph MAE-5.3.5:
(a) The Compliance Officer should be competent and knowledgeable regarding the CBB Law, rules and regulations, as well as the various applicable Volume 6 Modules;
(b) The Compliance Officer shall: ;
(i) Monitor the transactions undertaken by the member , its representatives, or participants ;
(ii) Identify disorderly transactions or conduct that may involve market abuse or disruption;
(iii) Identify and monitor transactions undertaken by insiders dealing through or with the member ;
(iv) Identify any breach of CBB Law, rules and regulations; and
(v) Identify any breach of the rules of the SRO .
Added: April 2013