Regulation 15A - Appointment of a Compliance Officer
Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993 Chapter III GENERAL OBLIGATIONS AND RESPONSIBILITIES
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Compliance officer appointment required: registrars and share transfer agents must monitor regulatory compliance and report non compliance immediately. Every registrar to an issue and share transfer agent must appoint a Compliance 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; 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 appointment required: registrars and share transfer agents must monitor regulatory compliance and report non compliance immediately.
Every registrar to an issue and share transfer agent must appoint a Compliance 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; the Compliance Officer must immediately and independently report any observed non compliance to the Board.
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