Stock Broker
This query is : Resolved
ARE NARASIMHAM
(Querist)
07 June 2011
Does a Stock Broker, obligatorily required to appoint a Compliance Officer? If yes, under what conditions?
bhupender soni
(Expert)
21 June 2011
Yes, every stock broker is required to appoint a compliance officer who shall be responsible for monitoring the compliance of the act ,rules and regulation notification and guidelines issued by SEBI or central government and redressed of investors grievances
Yes, every stock broker is required to appoint a compliance officer who shall be responsible for monitoring the compliance of the act ,rules and regulation notification and guidelines issued by SEBI or central government and redressed of investors grievances
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