Securities Markets Regulations, 2015 · s 36

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s 36

The holder of a capital markets services licence must ensure that the following requirements are met to enable the compliance function to perform its tasks properly and independently -

{a)

the compliance function must have the necessary authority, resources, expertise and access to all relevant information;

{b)

a compliance officer must be appointed and must be responsible for this function and for reporting as to compliance, including the preparation and filing of a report to the management, annually or more frequently as appropriate, concerning compliance, risk control, and the appropriate steps taken in the event of deficiencies;