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AU-1.2.16

All investment firm licenseesG must designate an employee, of appropriate standing and resident in Bahrain, as 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
(b) Reporting to the licensee's Board in respect of that responsibility.
Amended: July 2012
Adopted: April 2011
 Versions
(2 Versions)
 
Apr 1 2011 - Jun 30 2012Jul 1 2012 onwards
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