0571-2024 Himanshu Arora vs SEBI
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“Q4. Whether you were also the compliance officer at AFSPL for both Broker and DP function of AFSPL? lf Yes, since when? A.4 I was given the post of compliance officer for both Broker and DP function of AFSPL, however, I used to handle only IT related work as referred at A.3 Above. I do not remember the date I was assigned the designation/role of compliance officer at AFSPL. Further, I don't have any document w.r.t assignment of the designation/role” 15. A Compliance Officer is required to ensure and monitor
IN THE SECURITIES APPELLATE TRIBUNAL AT
MUMBAI
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Source: SecMarx — 0571-2024 Himanshu Arora vs SEBI. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (bench, timelines, appeal chain) is cited to us.