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MIR-3.1.7

In accordance with Paragraph MIR-3.1.6:

(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:
(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