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of <h1>Stock brokers' compliance officer duty: monitor regulatory adherence, handle investor grievances, and report breaches directly to exchanges</h1> Every stock broker must appoint a compliance officer tasked with monitoring compliance with the Act, the Securities Contracts (Regulation) Act, 1956, and all rules, regulations, bye-laws, notifications, guidelines, and instructions issued by SEBI or a recognised stock exchange, and with ensuring redressal of investors' grievances, thereby mandating an internal accountability function for regulatory adherence and grievance handling. The compliance officer must immediately and independently report any observed non-compliance to the recognised stock exchange, requiring prompt escalation of breaches to the exchange for supervisory action.
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