GENERAL OBLIGATIONS OF A RECOGNISED DEPOSITORYInternational Financial Services Centres Authority (Market Infrastructure Institutions) Regulations, 2021
GENERAL OBLIGATIONS OF A RECOGNISED DEPOSITORYInternational Financial Services Centres Authority (Market Infrastructure Institutions) Regulations, 2021
Compliance officer oversight requires market infrastructure institutions to monitor legal compliance, address investor grievances, and independently report noncompliance immediately. Recognised market infrastructure institutions must appoint a compliance officer to monitor compliance with applicable laws, including securities laws, the ... Summary
Compliance officer oversight requires market infrastructure institutions to monitor legal compliance, address investor grievances, and independently report noncompliance immediately.
Recognised market infrastructure institutions must appoint a compliance officer to monitor compliance with applicable laws, including securities laws, the IFSCA Act, and rules and regulations made under it. The compliance officer is responsible for redressal of investors' grievances and must immediately and independently report any observed noncompliance to the Authority.
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