Compliance Officer appointed for broking and depository operations
NDA Securities Ltd has informed BSE that its Board, by resolution passed by circulation on October 15, 2026, appointed Mr. Arun Kumar Mistry as Compliance Officer for Broking and Depository Operations, effective October 15, 2026.
By ScoutQuest · · 1 min read
- Appointment
- Mr. Arun Kumar Mistry as Compliance Officer for Broking and Depository Operations
- Effective Date
- October 15, 2026
- Board Resolution
- resolution passed by circulation on October 15, 2026
What the company told the exchange
NDA Securities Limited has informed BSE that its Board of Directors, by a resolution passed by circulation on October 15, 2026, has appointed Mr. Arun Kumar Mistry as the Compliance Officer for Broking and Depository Operations of the company, with effect from October 15, 2026.
What the role covers
- Monitoring compliance relating to the company's stockbroking and depository operations
- Regulatory reporting
- Exchange and depository compliance
- Record maintenance
- Other applicable regulatory obligations
The update states the appointment was made in accordance with the applicable regulatory requirements, rules, circulars and guidelines governing stockbroking and depository participant operations, to oversee and monitor compliance with requirements prescribed by SEBI, recognised stock exchanges and depositories.
What the company clarified
The update states that this appointment pertains to the regulatory and operational compliance requirements applicable to a stockbroking entity and its depository operations. It adds that this is not an appointment or change in Key Managerial Personnel or senior management being intimated under the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015.
How to read this
The letter is an intimation submitted for information and records. It concerns who within the company is responsible for overseeing compliance for its broking and depository business. It does not relate to the company's financial performance or to any change in shareholding.
The letter is signed by Kajal Goel, Managing Director.
Also from NDA Securities
CEO Ankit Gupta resigns with effect from October 1, 2026
30 Sep 2026
Chief Executive Officer Ankit Gupta Resigns Effective October 1, 2026
30 Sep 2026
Gaurav Jindal appointed Head of Business Development, designated Senior Management Personnel
30 Sep 2026
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