Regulation 15 - Establishing Internal policies and procedures
Securities and Exchange Board of India (Research Analysts) Regulations, 2014 Chapter III MANAGEMENT OF CONFLICTS OF INTEREST AND DISCLOSURE REQUIREMENTS
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Conflict of interest management required to preserve independent, non manipulative research and ensure separation from other business activities. Mandatory written internal policies and control procedures must govern research analysts' and research entities' dealing and trading in securities to: identify and manage actual or potential conflicts of interest; promote objective, unbiased research; and prevent use of research reports to manipulate the securities market. Entities must also implement mechanisms ensuring independence of research activities from other business activities.
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.
Conflict of interest management required to preserve independent, non manipulative research and ensure separation from other business activities.
Mandatory written internal policies and control procedures must govern research analysts' and research entities' dealing and trading in securities to: identify and manage actual or potential conflicts of interest; promote objective, unbiased research; and prevent use of research reports to manipulate the securities market. Entities must also implement mechanisms ensuring independence of research activities from other business activities.
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