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SEBI (Stock Brokers) Reg 1992 Rule 18A

Requires every stock broker to appoint a compliance officer responsible for compliance with all rules and regulations issued by SEBI or the Central Government for the redress of investor grievance. It places an explicit individual obligation on the compliance officer to immediately and independently to report to SEBI any instances of non-complance.

Rule Overview

Jurisdiction: India

Regulator: SEBI

Topic: Compliance Personnel

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Rules in This Collection
SEBI (Stock Brokers) Reg 1992
SEBI (Stock Brokers) Reg 1992 Rule 17
SEBI (Stock Brokers) Reg 1992 Rule 18
SEBI (Stock Brokers) Reg 1992 Rule 18A This Rule
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