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        SEBI

        Regulation 81 - Appointment of compliance officer

        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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        Compliance officer appointment mandates monitoring compliance and immediate plus periodic reporting of non compliance and grievances to the Board. A depository and its participants must appoint a compliance officer responsible for monitoring compliance with applicable laws and redressal of investors' grievances, who must immediately and independently report observed non compliance to the Board and submit reports of any non compliance and grievance redressal to the Board in the manner specified by the Board.
                          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.

                                Compliance officer appointment mandates monitoring compliance and immediate plus periodic reporting of non compliance and grievances to the Board.

                                A depository and its participants must appoint a compliance officer responsible for monitoring compliance with applicable laws and redressal of investors' grievances, who must immediately and independently report observed non compliance to the Board and submit reports of any non compliance and grievance redressal to the Board in the manner specified by the Board.


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