CS AIR OS

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Regulatory Framework

→ Regulatory Framework Regulatory Framework · Needs attention

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Introduction

○ Introduction Introduction · Needs attention

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Securities and Exchange Board of India (Intermediaries) Regulations, 2008

○ Securities and Exchange Board of India (Intermediaries) Regulations, 2008 Securities and Exchange Board of India (Intermediaries) Regulations, 2008 · Needs attention

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Registration of Intermediaries

○ Registration of Intermediaries Registration of Intermediaries · Needs attention

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General Obligations of Intermediaries

○ General Obligations of Intermediaries General Obligations of Intermediaries · Needs attention

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Redressal of Investor Grievances

○ Redressal of Investor Grievances Redressal of Investor Grievances · Needs attention

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Appointment of Compliance Officer

○ Appointment of Compliance Officer Appointment of Compliance Officer · Needs attention

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Investment Advice

○ Investment Advice Investment Advice · Needs attention

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Code of Conduct

○ Code of Conduct Code of Conduct · Needs attention

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Usage of Artificial Intelligence

○ Usage of Artificial Intelligence Usage of Artificial Intelligence · Needs attention

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Restriction in having Association with Certain Persons

○ Restriction in having Association with Certain Persons Restriction in having Association with Certain Persons · Needs attention

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Regulatory Framework for Intermediaries

○ Regulatory Framework for Intermediaries Regulatory Framework for Intermediaries · Needs attention

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Internal Audit of Intermediaries by Company Secretary in Practice

○ Internal Audit of Intermediaries by Company Secretary in Practice Internal Audit of Intermediaries by Company Secretary in Practice · Needs attention