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        SEBI

        Regulation 49 - External monitoring, review and evaluation of systems and controls

        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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        Annual inspection obligation requires depositories to review controls and forward the inspection report to the regulator. Regulation 49 requires every depository to cause an annual inspection of its controls, systems, procedures and safeguards and to forward a copy of the inspection report to the Board, thereby obliging depositories to review internal systems and report findings to the regulator.
                          Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
                            Provisions expressly mentioned in the judgment/order text.

                                Annual inspection obligation requires depositories to review controls and forward the inspection report to the regulator.

                                Regulation 49 requires every depository to cause an annual inspection of its controls, systems, procedures and safeguards and to forward a copy of the inspection report to the Board, thereby obliging depositories to review internal systems and report findings to the regulator.


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