valid as on 19/02/2020

Regulation 6. Compliance Officer and his Obligations.
Effective date 01.12.2015

Compliance Officer and his Obligations.

6. (1) A listed entity shall a qualified company secretary as the compliance officer.

(2) The compliance officer of the listed entity shall be responsible for-

(a)   ensuring conformity with the regulatory provisions applicable to the listed entity in letter and spirit.

(b)  co-ordination with and reporting to the Board, recognised stock exchange(s) and depositories with respect to compliance with rules, regulations and other directives of these authorities in manner as specified from time to time.

(c)   ensuring that the correct procedures have been followed that would result in the correctness, authenticity and comprehensiveness of the information, statements and reports filed by the listed entity under these regulations.

(d)  monitoring email address of grievance redressal division as designated by the listed entity for the purpose of registering complaints by investors:

Provided that the requirements of this regulation shall not be applicable in the case of units issued by mutual funds which are listed on recognised stock exchange(s) but shall be governed by the provisions of the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996.

Refer SEBI Circular on non-compliance with certain provisions of the SEBI LODR and the Standard Operating Procedure for suspension and revocation of trading of specified securities dated 22.01.2020. To view the circular Click Here

SEBI Circular on non-compliance with certain provisions of the SEBI LODR and the Standard Operating Procedure for suspension and revocation of trading of specified securities dated 22.01.2020


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