The Capital Markets (Derivatives Markets) Regulations

30. Appointment of compliance officer

Edition: 2025-02-14 · In force

30. Appointment of compliance officer

(1)A derivatives exchange shall appoint a compliance officer from amongst its employees.

(2)A compliance officer appointed under subregulation (1) shall be responsible for—

(a)monitoring compliance by the derivatives exchange with its articles of association, rules, these Regulations, the Act, any guidelines or directions issued thereunder; and

(b)the redress of investors' grievances.

(3)The compliance officer shall, immediately and independently, report to the Authority, the lack of compliance with any provision stated in subregulation (2).

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Source: Kenya Law