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        SEBI

        Regulation 33 - Appointment of compliance officer

        Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2019
        Chapter VI
        GENERAL OBLIGATIONS AND RESPONSIBILITIES OF DESIGNATED DEPOSITORY PARTICIPANTS

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        Appointment of compliance officer ensures monitoring of regulatory adherence and immediate independent reporting of non-compliance to the regulator. A compliance officer must be appointed by each designated depository participant to monitor adherence to applicable Acts, rules, regulations, notifications, guidelines and Board or Central Government instructions, and 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.

                                Appointment of compliance officer ensures monitoring of regulatory adherence and immediate independent reporting of non-compliance to the regulator.

                                A compliance officer must be appointed by each designated depository participant to monitor adherence to applicable Acts, rules, regulations, notifications, guidelines and Board or Central Government instructions, and must immediately and independently report any observed non-compliance to the Board.


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