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        SEBI

        Regulation 35 - External monitoring, review and evaluation of systems and controls.

        Securities And Exchange Board of India (Depositories And Participants) Regulations, 1996
        Chapter V
        RIGHTS AND OBLIGATIONS OF DEPOSITORIES, PARTICIPANTS, ISSUERS, MANNER OF SURRENDER OF CERTIFICATE OF SECURITY AND CREATION OF PLEDGE OR HYPOTHECATION

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        External monitoring requirement: depositories must inspect systems and controls and forward the inspection report to regulator. Depositories must conduct an annual inspection of their controls, systems, procedures and safeguards and forward a copy of the inspection report to the Board, thereby instituting a regulatory reporting obligation to ensure oversight of operational and compliance-related systems and risk mitigation measures.
                          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.

                              External monitoring requirement: depositories must inspect systems and controls and forward the inspection report to regulator.

                              Depositories must conduct an annual inspection of their controls, systems, procedures and safeguards and forward a copy of the inspection report to the Board, thereby instituting a regulatory reporting obligation to ensure oversight of operational and compliance-related systems and risk mitigation measures.


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