GENERAL OBLIGATIONS AND RESPONSIBILITIES OF DESIGNATED DEPOSITORY PARTICIPANTS - Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2019
GENERAL OBLIGATIONS AND RESPONSIBILITIES OF DESIGNATED DEPOSITORY PARTICIPANTS - Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2019
Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2019 Chapter VI GENERAL OBLIGATIONS AND RESPONSIBILITIES OF DESIGNATED DEPOSITORY PARTICIPANTS
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Appointment of compliance officer ensures monitoring of regulatory adherence and immediate independent reporting of non-compliance to the regulator. A compliance officer must be appointed by each designated depository participant to monitor adherence to applicable Acts, rules, regulations, ... Summary
Appointment of compliance officer ensures monitoring of regulatory adherence and immediate independent reporting of non-compliance to the regulator.
A compliance officer must be appointed by each designated depository participant to monitor adherence to applicable Acts, rules, regulations, notifications, guidelines and Board or Central Government instructions, and must immediately and independently report any observed non-compliance to the Board.
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