Chapter VIIRIGHTS AND OBLIGATIONS OF DEPOSITORIES, PARTICIPANTS, ISSUERS, MANNER OF SURRENDER OF CERTIFICATE OF SECURITY AND CREATION OF PLEDGE OR HYPOTHECATION (From Regulation 40 to Regulation 82AA )
Securities and Exchange Board of India (Depositories and Participants) Regulations, 2018 Chapter VII RIGHTS AND OBLIGATIONS OF DEPOSITORIES, PARTICIPANTS, ISSUERS, MANNER OF SURRENDER OF CERTIFICATE OF SECURITY AND CREATION OF PLEDGE OR HYPOTHECATION
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Compliance officer appointment mandates monitoring compliance and immediate plus periodic reporting of non compliance and grievances to the Board. A depository and its participants must appoint a compliance officer responsible for monitoring compliance with applicable laws and redressal of investors' ... Summary
Compliance officer appointment mandates monitoring compliance and immediate plus periodic reporting of non compliance and grievances to the Board.
A depository and its participants must appoint a compliance officer responsible for monitoring compliance with applicable laws and redressal of investors' grievances, who must immediately and independently report observed non compliance to the Board and submit reports of any non compliance and grievance redressal to the Board in the manner specified by the Board.
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