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TC-1.1.11

An employee of appropriate standing must be designated by the capital market licensee for the position of compliance officer. The duties of the compliance officer, who must have Bahraini residency, include:

(a) Having responsibility for oversight of the capital market licensee’s compliance with the requirements of the CBB and other applicable laws and regulations;
(b) Raising awareness and providing training for the capital market licensee’s staff on compliance issues; and
(c) Reporting to the capital market licensee’s Board in respect of that responsibility.
Added: January 2022