INSTITUTIONAL MECHANISM FOR PREVENTION AND DETECTION OF FRAUD OR MARKET ABUSE - Securities and Exchange Board of India (Stock Brokers) Regulations, 2026
INSTITUTIONAL MECHANISM FOR PREVENTION AND DETECTION OF FRAUD OR MARKET ABUSE - Securities and Exchange Board of India (Stock Brokers) Regulations, 2026
Appointment of compliance officer: must monitor legal compliance, handle investor grievances and report non-compliance immediately. Every stock broker must appoint a compliance officer responsible for monitoring adherence to applicable securities laws, rules, regulations and exchange ... Summary
Appointment of compliance officer: must monitor legal compliance, handle investor grievances and report non-compliance immediately.
Every stock broker must appoint a compliance officer responsible for monitoring adherence to applicable securities laws, rules, regulations and exchange guidelines and for redressal of investor grievances, with an independent duty to report any observed non compliance immediately to the recognised stock exchange.
Full Summary is available for active users!
Note: It is a system-generated summary and is for quick reference only.