Compliance Officer Exemption from REs

Board Notice 207 of 2012 was published on 14 December 2012, and now stipulates that the compulsory regulatory exam for COs must be written by 31 December 2013.

“Compliance officer” means a compliance officer approved by the Registrar and an applicant applying for approval as a compliance officer between 1 January 2012 and 31 December 2013.

This means that all compliance officers, including those newly appointed in 2013, have until the end of the year to complete the exam.

There is one little concern though; the exams are not yet available.

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