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SEBI Clarifies On Position Of Compliance Officer Within Company's Hierarchy

Summary by NDTV Profit

Markets regulator Securities and Exchange Board of India on Tuesday clarified the term "level" under disclosure regulations for listed entities, stating that it refers to the Compliance Officer's position within a company's organisational hierarchy.This means the Compliance Officer should report directly to the Managing Director or Whole-Time Directors who are part of the Board.In the absence of such directors, the Compliance Officer should be n…

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Inventiva

Madhabi Puri Buch: The First Woman At SEBI’s Chair, But Now The Chair Needs Firm Repair?

In the landscape of Indian regulatory bodies, the SEBI stands firmly as a giant eagle eye tasked with the responsibility of protecting a myriad of investors, regulating an Indian economy where companies work on trillion-dollar market capitalisations, and ensuring that India’s financial markets remain vibrant, transparent and trustworthy. When Madhabi Puri Buch ascended to its …

4 days ago

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mehta-mehtaadvisory.com

SEBI Update - Clarification on the position of Compliance Officer in terms of regulation 6 of the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 – Reg. - Mehta & Mehta

SEBI has issued Clarification that the position of Compliance Officer as per the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 shall be one level below the Managing Director or Wholetime Director who are part of the Board of Directors of the listed entity.It is clarified that the term ‘level’ used in regulation 6(1) refers to the position of the Compliance Officer in the organization structure of the listed entity. The…

5 days ago

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