Compliance Officer

In relation to:

(a) an Authorised Firm, the Licensed Function described in GEN Rule 7.4.6; and
(b) an Authorised Market Institution, the Key Individual function described in AMI Rule 5.3.6.
Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
Amended in accordance with Notice of Amendments to Legislation April 2011 [VER24/02-11]
[Amended] DFSA RM124/2013 (Made 13th June 2013) [VER30/07-13]