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        SEBI

        Regulation 12 - General obligations

        Securities and Exchange Board of India (Intermediaries) Regulations, 2008
        Chapter III
        GENERAL OBLIGATIONS OF INTERMEDIARIES

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        Compliance certificate requirement: intermediaries must annually certify compliance, display certificate and contact details, and maintain records. Intermediaries must furnish an annual compliance certificate to the Board certifying continuous compliance with obligations and eligibility criteria and the truthfulness of disclosures in Form A; display a photocopy of the certificate at all offices; prominently provide the compliance officer's name and contact for investor complaints; and maintain books, accounts and records as specified under the regulations.
                          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 certificate requirement: intermediaries must annually certify compliance, display certificate and contact details, and maintain records.

                                Intermediaries must furnish an annual compliance certificate to the Board certifying continuous compliance with obligations and eligibility criteria and the truthfulness of disclosures in Form A; display a photocopy of the certificate at all offices; prominently provide the compliance officer's name and contact for investor complaints; and maintain books, accounts and records as specified under the regulations.


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