Compliance officer appointment requires monitoring regulatory compliance and immediate independent reporting of any observed non compliance to the board. Every stock broker must appoint a compliance officer responsible for monitoring adherence to applicable laws, regulations and Board or Central Government instructions 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 requires monitoring regulatory compliance and immediate independent reporting of any observed non compliance to the board.
Every stock broker must appoint a compliance officer responsible for monitoring adherence to applicable laws, regulations and Board or Central Government instructions 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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