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TMI BlogCore functions of recognised stock exchange and recognised clearing corporationX X X X Extracts X X X X X X X X Extracts X X X X ..... ritical functions shall include but not limited to: a. Vertical 1: Critical operations i. Provision and operation of trading facilities; ii. Record keeping and disclosure of trade related information; iii. IT infrastructure for core and critical functions; iv. Business continuity plan and disaster recovery operations; v. Cyber security and cyber resilience framework. b. Vertical 2: Regulatory, com ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... erations; v. Cyber security and cyber resilience framework. b. Vertical 2: Regulatory, compliance, Risk Management and investor grievance i. Risk management; ii. Member registration; iii. Compliance; iv. Inspection; v. Enforcement; vi. Member default; vii. Investor protection and services. c. Vertical 3: Other functions including business development i. Sales; ii. Marketing; iii. Product developme ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... . The employees in regulatory areas may be physically segregated from employees in other departments including with respect to access controls. In exceptional circumstances employees from other departments may be given confidential information on need to know basis, under intimation to the Compliance Officer. (2) Regulation 28 of these Regulations mandate segregation of regulatory departments from ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ement, (f) default, (g) investor protection, (h) investor services, (5) The recognized stock exchange / recognized clearing corporation shall ensure that the regulatory departments viz., surveillance, inspection, risk management, default, investor protection, investor services etc, are sufficiently staffed with adequate number of persons having professional and relevant experience at all times. - ..... X X X X Extracts X X X X X X X X Extracts X X X X
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