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CSD-5.3.6

In accordance with Paragraph CSD-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 any breach of CBB Law, rules and regulations; and
(iv) Identify any breach of the rules of the SRO.
Amended: April 2013