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        SEBI

        Regulation 17 - Compensation of research analysts

        Securities and Exchange Board of India (Research Analysts) Regulations, 2014
        Chapter III
        MANAGEMENT OF CONFLICTS OF INTEREST AND DISCLOSURE REQUIREMENTS

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        Research analyst compensation restrictions bar pay tied to investment or merchant banking and require independent board review. Regulation 17 prohibits any research analyst compensation that is determined or based on specific merchant banking, investment banking or brokerage transactions. Compensation must be reviewed, documented and approved annually by the board or a committee without representation from those transactional divisions, and such review must not consider the analyst's contribution to those businesses. Research analysts may not be supervised or controlled by employees of merchant banking, investment banking or brokerage divisions.
                      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.

                            Research analyst compensation restrictions bar pay tied to investment or merchant banking and require independent board review.

                            Regulation 17 prohibits any research analyst compensation that is determined or based on specific merchant banking, investment banking or brokerage transactions. Compensation must be reviewed, documented and approved annually by the board or a committee without representation from those transactional divisions, and such review must not consider the analyst's contribution to those businesses. Research analysts may not be supervised or controlled by employees of merchant banking, investment banking or brokerage divisions.


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