Quarterly compliance reporting: investment managers must file governance reports to stock exchanges signed by compliance officer or CEO. The investment manager must submit a quarterly compliance report on governance to recognized stock exchange(s) in the format specified by the Board, within the prescribed period from the end of each quarter, and the report must be signed by either the compliance officer or the chief executive officer of the investment manager.
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.
Quarterly compliance reporting: investment managers must file governance reports to stock exchanges signed by compliance officer or CEO.
The investment manager must submit a quarterly compliance report on governance to recognized stock exchange(s) in the format specified by the Board, within the prescribed period from the end of each quarter, and the report must be signed by either the compliance officer or the chief executive officer of the investment manager.
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