KPT, an assets management company, issued units of mutual fund, which are listed on recognized stock exchange(s), governed by the provisions of the Securities and Exchange Board of India (Mutual Funds) Regulations 1996,

As per Regulation 6 of the SEBI (LODR) Regulations, 2015, a listed entity shall appoint a qualified company secretary as the compliance officer. However, the requirements of this regulation shall not be applicable in the case of units issued by mutual funds which are listed on recognised stock exchange(s) but shall be governed by the provisions of the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996. As per SEBI (Mutual Funds) Regulations, 1996, the asset management company is required to appoint a compliance officer who shall be responsible for monitoring the compliance of the Act, rules and regulations, notifications, guidelines, instructions, etc., issued by the Board or the Central Government and for redressal of investors grievances. So, KPT, an Asset Management Company may appoint Company Secretary D as Compliance Officer of the Company. Under Regulation 6 of the SEBI (LODR) Regulations, 2015, the compliance officer of the Listed Company is responsible for the following actions: ensuring conformity with the regulatory provisions applicable to the listed entity in letter and spirit. co-ordination with and reporting to the Board, recognised stock exchange(s) and depositories with respect to compliance with rules, regulations and other directives of these authorities in the manner as specified from time to time. ensuring that the correct procedures have been followed that would result in the correctness, authenticity and comprehensiveness of the information, statements and reports filed by the listed entity under these regulations. monitoring email address of grievance redressal division as designated by the listed entity for the purpose of registering complaints by investors.