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MAE-3.8.2

In accordance with MAE-3.8.1:

(a) The Compliance Officer should be competent and knowledgeable regarding the CBB Laws, rules and regulations of the securities marketG and the various applicable modules;
(b) The Compliance Officer shall:
(i) Monitor the transactions undertaken by their membersG or participantsG ;
(ii) Identify disorderly trading conditions or conduct that may involve marketG abuse;
(iii) Identify and monitor transactions undertaken by insiders;
(iv) Identify any breach of CBB Law, rules and regulations;
(c) The licensed exchangeG or the licensed market operatorG shall on the identification of any breach referred to in MAE-3.8.2 (b) report such breach to the CBB without delay for the investigation and prosecution of marketG abuse and shall provide full assistance to the latter in investigating and prosecuting marketG abuse occurring on or through the systems of the licensed exchangeG or licensed market operatorG .
Amended: April 2013
 Versions
(2 Versions)
 
Oct 1 2008 - Mar 31 2013Apr 1 2013 onwards
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