Regulation 12 - General obligations - Securities and Exchange Board of India (Intermediaries) Regulations, 2008

CHAPTER III GENERAL OBLIGATIONS OF INTERMEDIARIES General obligations. 12. (1) An intermediary shall provide the Board with a certificate of its compliance officer on the 1st April of each year certifying: (a) the compliance by the intermediary with all the obligations, responsibilities and the fulfillment of the eligibility criteria on a continuous basis under these regulations and the relevant regulations; (b) that all disclosures made in Form A and under the relevant regulations are true and complete. (2) Each intermediary shall prominently display a photocopy of the certificate at all its offices including branch offices. (3) The intermediary shall also prominently display the name and contact details of the compliance officer to whom complaint may be made in the event of any investor grievance. (4) The intermediary shall maintain such books, accounts and records as specified in the relevant regulations.