Compliance officer

This query is : Resolved

siddhi08 (Querist)
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17 February 2012 Dear Experts,

Can any person act as a Compliance Officer of the Company?

Is it necessary he should be a Company Secretary only?

What are the qualifications required to act as a Compliance Officer?

Waiting for your answer.

Thanks & Regards,
Siddhi

Ajay Mishra

Ajay Mishra (Expert)
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17 February 2012 Hi,

It is not necessary that a company secretary should be a compliance officer. Yes any person can act as a compliance officer. A person should be capable of understanding financial statements and financially literate.

A CS trainee too becomes a compliance certificate.

Regards
Ajay Mishra

CS Mitesh Mehta

CS Mitesh Mehta (Expert)
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17 February 2012 As per Clause 47 (a)of the Listing Agreement, only company secretary can act as a Compliance officer who will be responsible for monitoring the share transfer process and report to the company's board in each meeting & directly liaise with the authorities such as SEBI, Stock Exchanges, ROC etc., and investors with respect to implementation of various clause, rules, regulations and other directives of such authorities and investor service & complaints related matter

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