Introducing the “In Favour Of” filter in Case Laws.
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Introducing the “In Favour Of” filter in Case Laws.
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of <h1>Non-individual investment advisers must appoint a compliance officer or certified independent professional under Regulation 20, SEBI 2013.</h1> Regulation 20 of the Securities and Exchange Board of India (Investment Advisers) Regulations 2013 mandates that non-individual investment advisers appoint either a compliance officer or an independent professional from specified professional bodies, provided they hold relevant NISM certification. This officer is tasked with ensuring compliance with applicable laws and guidelines. If an independent professional is appointed, the principal officer must submit an undertaking to the Board or a recognized body, affirming responsibility for compliance monitoring. This regulation was updated in December 2024 to expand the scope of eligible professionals for the compliance role.
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