CBB Volume 6: Contents

Central Bank of Bahrain Volume 6—Capital Markets
Part A
Institutions
MAE — Markets and Exchanges
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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 memberG , its representatives, or participantsG ;
(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 memberG ;
(iv) Identify any breach of CBB Law, rules and regulations; and
(v) Identify any breach of the rules of the SROG .
Added: April 2013
 Versions
(1 Version)
 
Apr 1 2013 onwards
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