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        SEBI

        Regulation 17 - Appointment of compliance officer

        Securities and Exchange Board of India (Stock Brokers) Regulations, 2026
        Chapter III
        GENERAL OBLIGATIONS AND RESPONSIBILITIES

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        Appointment of compliance officer: must monitor legal compliance, handle investor grievances and report non-compliance immediately. Every stock broker must appoint a compliance officer responsible for monitoring adherence to applicable securities laws, rules, regulations and exchange guidelines and for redressal of investor grievances, with an independent duty to report any observed non compliance immediately to the recognised stock exchange.
                        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: must monitor legal compliance, handle investor grievances and report non-compliance immediately.

                              Every stock broker must appoint a compliance officer responsible for monitoring adherence to applicable securities laws, rules, regulations and exchange guidelines and for redressal of investor grievances, with an independent duty to report any observed non compliance immediately to the recognised stock exchange.


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