Intermediary compliance certification requires annual confirmation of continuous eligibility, accurate disclosures, public complaint contacts, and prescribed record maintenance. Intermediaries must provide the Board, on 1 April each year, with a compliance officer's certificate confirming continuous regulatory compliance, ... Summary
Securities and Exchange Board of India (Intermediaries) Regulations, 2008
Intermediary compliance certification requires annual confirmation of continuous eligibility, accurate disclosures, public complaint contacts, and prescribed record maintenance.
Intermediaries must provide the Board, on 1 April each year, with a compliance officer's certificate confirming continuous regulatory compliance, fulfilment of eligibility criteria, and the truth and completeness of Form A and other required disclosures. The certificate must be displayed at all offices, including branches. Compliance officer contact details for investor grievances must also be displayed, and prescribed books, accounts and records must be maintained.
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