/ http://www.slideshare.net/images/logo.gif / ºÝºÝߣShare feed for ºÝºÝߣshows by User: LilyChan7 https://public.slidesharecdn.com/v2/images/profile-picture.png  Liaison person between the Exchange/Regulator and the company on compliance issues.  Advising the management and personnel of the company in relation to conformity to all rules and regulations inclusive of recommending remedial action to the company in the event of non-compliance and to see to its successful implementation  Ensuring that any regulatory changes are properly implemented within the company and to ensure strict adherence there to  Establishing an effective and quick mechanism of resolving problems that may arise which pertain to compliance.  Held constant and regular meetings with the supervisory personnel and dealer’s representatives pertaining to issues ...