compliance officer

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udit agarwal (Querist)
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16 March 2011 i want to know who can be appointed as a compliance officer in a listed public company. whether there is any prescribed qualification for the same and who else beside the CS of the company can be appointed

udit sharma

udit sharma (Expert)
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16 March 2011 As per Clause 47(1) of the Listing Agreement, the Company has to appoint its Company Secretary as the Compliance Officer who shall be responsible for monitoring the share transfer process and shall report to the Board in every Board Meeting. Further, he shall also be responsible for liasoning with various authorities such as SEBI, Stock Exchanges, ROC regarding the complinace of various applicable rules and regulations and shall attend to investors grievances.

God Bless

CS Udit Sharma

udit agarwal

udit agarwal (Querist)
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18 March 2011 thanx but in case where the company does not have the company secretary in whole time where the paid up capital is not 5 crore then who can be appointed whethr any prescribed qualification is there

udit sharma

udit sharma (Expert)
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19 March 2011 Then any one who is looking after the secretarial functions may be appointed as the Compliance Officer.....There is no prescribed qualification.

God Bless

CS Udit Sharma

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