Appointment of compliance officer

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....ave a graduate degree in law from a university/institution recognised by the Government; and (ii) at the time of appointment shall have a minimum of two years post qualification experience in activities related to corporate or secretarial compliance; and (iii) shall possess such certification(s) as may be specified by the Board, and in case of an existing compliance officer, such....

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....ll comply with the requirement under this clause within such time and in the manner, as may be specified by the Board; (ii) responsible for- a. monitoring the compliance of the Act, rules and regulations, notifications, guidelines, instructions, etc., issued by the Board or the Central Government; and b. for redressal of investors' grievances. (3) The compliance offic....

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....ntment.]     ************* NOTES:- 1. Inserted by the Securities and Exchange Board of India (Investment Advice by Intermediaries) (Amendment) Regulations, 2001, w.e.f., 29-5-2001. 2.  Substituted vide F. No. SEBI/LAD-NRO/GN/2025/282 dated 03-12-2025 (shall come into force on the thirtieth day from the date of their publication in the Official Gazette) b....