Compliance officer reporting requirement: appointed officer must monitor regulatory compliance and promptly report any non compliance to the Board. Every Index Provider must appoint a Compliance Officer responsible for monitoring adherence to the Act, rules, regulations, notifications, guidelines and ... Summary
Compliance officer reporting requirement: appointed officer must monitor regulatory compliance and promptly report any non compliance to the Board.
Every Index Provider must appoint a Compliance Officer responsible for monitoring adherence to the Act, rules, regulations, notifications, guidelines and circulars issued by the Board and who must independently report any observed non compliance to the Board no later than seven working days from the date the non compliance is identified.
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