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TC-1.1.9

In accordance with Paragraph AU-1.2.12, an employee of appropriate standing must be designated by the licensee for the position of compliance officer. The duties of the compliance officer include:

(a) Having responsibility for oversight of the licensee s compliance with the requirements of the CBB and other applicable laws and regulations;
(b) Raising awareness and providing training for the licensee s staff on compliance issues; and
(c) Reporting to the licensee s Board in respect of that responsibility.
January 2014