Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2014 Chapter VI GENERAL OBLIGATIONS AND RESPONSIBILITIES OF DESIGNATED DEPOSITORY PARTICIPANTS
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Compliance officer requirement ensures monitoring of regulatory obligations and immediate independent reporting of non compliance to the Board. Appointment of a compliance officer is required for every designated depository participant to monitor compliance with applicable law, rules, regulations, notifications, guidelines and instructions issued by the Board or the Central Government, and the compliance officer must immediately and independently report any observed non-compliance to 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 requirement ensures monitoring of regulatory obligations and immediate independent reporting of non compliance to the Board.
Appointment of a compliance officer is required for every designated depository participant to monitor compliance with applicable law, rules, regulations, notifications, guidelines and instructions issued by the Board or the Central Government, and the compliance officer must immediately and independently report any observed non-compliance to the Board.
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