Code of Conduct mandates exchanges and clearing corporations to implement risk management, governance and investor protection measures. The Code requires recognised stock exchanges and clearing corporations to abide by applicable statutes and SEBI directions, adopt due diligence, implement risk management and good governance, protect and educate investors, treat members fairly, report violations promptly, avoid unfair competition and conflicts of interest, segregate key management roles by mapping duties and delegations, assign regulatory and compliance responsibilities, and remain responsible for employee acts or omissions while monitoring member compliance to safeguard investor and market interests.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Code of Conduct mandates exchanges and clearing corporations to implement risk management, governance and investor protection measures.
The Code requires recognised stock exchanges and clearing corporations to abide by applicable statutes and SEBI directions, adopt due diligence, implement risk management and good governance, protect and educate investors, treat members fairly, report violations promptly, avoid unfair competition and conflicts of interest, segregate key management roles by mapping duties and delegations, assign regulatory and compliance responsibilities, and remain responsible for employee acts or omissions while monitoring member compliance to safeguard investor and market interests.
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