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, ... Summary
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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