Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018 Chapter V GOVERNANCE OF STOCK EXCHANGES AND CLEARING CORPORATIONS
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Compliance officer obligations require immediate reporting of non compliance and quarterly reporting of grievance redressal to the Board. A compliance officer must be appointed by every recognised stock exchange and recognised clearing corporation to monitor compliance with relevant Acts, rules, regulations and directions and to oversee investor grievance redressal; the officer must immediately and independently report observed non compliance to the Board and submit quarterly reports of non compliance and grievance redressal to the Board in the manner specified.
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 obligations require immediate reporting of non compliance and quarterly reporting of grievance redressal to the Board.
A compliance officer must be appointed by every recognised stock exchange and recognised clearing corporation to monitor compliance with relevant Acts, rules, regulations and directions and to oversee investor grievance redressal; the officer must immediately and independently report observed non compliance to the Board and submit quarterly reports of non compliance and grievance redressal to the Board in the manner specified.
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