3.7 Compliance Officer

3.7.1           The Directors or the Compliance Committee shall appoint a Compliance Officer (and may appoint more than one). The Compliance Officer need not be a Director or member of a committee.

 

3.7.2           The Compliance Officer shall (without derogating from any other person’s responsibility in this regard) be responsible for monitoring compliance with and investigating alleged breaches of the Rules (or arrangements, procedures and directions made, authorized or given thereunder) and shall report to the Compliance Committee. Without prejudice to the generality of the foregoing, the Compliance Officer may also report any matter coming to his attention to such other committees and officials of the Exchange as he thinks fit.

 

3.7.3           The Directors or the Compliance Committee may make such further directions as they think fit regarding the powers and duties of the Compliance Officer.

 

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