Ch.3 · Custodian and RTA Functions · medium
What is the 'compliance officer' role in an AMC?
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EXPLANATION
The Compliance Officer is a key function in every AMC — responsible for ensuring adherence to SEBI regulations, AMFI guidelines, internal policies, and the code of ethics. The Compliance Officer must have direct access to the Board and Trustees, files compliance reports to SEBI, and is personally accountable for regulatory violations. SEBI mandates that the Compliance Officer be a senior, qualified professional.
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