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          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.

          <h1>Compliance officer appointment requires monitoring regulatory compliance and immediate independent reporting of any observed non compliance to the board.</h1> 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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