GENERAL OBLIGATIONS AND RESPONSIBILITIES OF DESIGNATED DEPOSITORY PARTICIPANTS - Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2014
GENERAL OBLIGATIONS AND RESPONSIBILITIES OF DESIGNATED DEPOSITORY PARTICIPANTS - Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2014
Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2014 Chapter VI GENERAL OBLIGATIONS AND RESPONSIBILITIES OF DESIGNATED DEPOSITORY PARTICIPANTS
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Compliance officer requirement ensures monitoring of regulatory obligations and immediate independent reporting of non compliance to the Board. Appointment of a compliance officer is required for every designated depository participant to monitor compliance with applicable law, rules, regulations, ... Summary
Compliance officer requirement ensures monitoring of regulatory obligations and immediate independent reporting of non compliance to the Board.
Appointment of a compliance officer is required for every designated depository participant to monitor compliance with applicable law, rules, regulations, notifications, guidelines and instructions issued by the Board or the Central Government, and the compliance officer must immediately and independently report any observed non-compliance to the Board.
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