Appointment of compliance officer requires portfolio managers to ensure regulatory compliance monitoring and investor grievance redressal. Appointment of a compliance officer requires every portfolio manager to designate an officer responsible for monitoring compliance with the Act, rules, regulations, notifications, guidelines and instructions issued by the Board or the Central Government and for redressal of investors' grievances, who 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.
Appointment of compliance officer requires portfolio managers to ensure regulatory compliance monitoring and investor grievance redressal.
Appointment of a compliance officer requires every portfolio manager to designate an officer responsible for monitoring compliance with the Act, rules, regulations, notifications, guidelines and instructions issued by the Board or the Central Government and for redressal of investors' grievances, who must immediately and independently report any observed non compliance to the Board.
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