Compliance certificate requirement: intermediaries must annually certify compliance, display certificate and contact details, and maintain records. Intermediaries must furnish an annual compliance certificate to the Board certifying continuous compliance with obligations and eligibility criteria and ... Summary
Compliance certificate requirement: intermediaries must annually certify compliance, display certificate and contact details, and maintain records.
Intermediaries must furnish an annual compliance certificate to the Board certifying continuous compliance with obligations and eligibility criteria and the truthfulness of disclosures in Form A; display a photocopy of the certificate at all offices; prominently provide the compliance officer's name and contact for investor complaints; and maintain books, accounts and records as specified under the regulations.
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