What is the role of the Compliance Officer?
The Compliance Officer is be tasked with the regular monitoring and assessment of the measures that the License Holder has in place which ensure that they are in line with Standard License Conditions. In short, this means that they’re there to make sure you’re on the right legal track, and to help spot and deficiencies on this front, and help you correct them in good time.
The Compliance Officer will also be there to advise the relevant Investment Services personnel to fall in line with the License Holder’s legal and regulatory obligations.