Regulation 14 - Functions and Obligations of Self Regulatory Organization
Securities and Exchange Board of India (Self Regulatory Organisations) Regulations, 2004 Chapter III COMPOSITION AND FUNCTIONS OF SELF REGULATORY ORGANIZATIONS
📋
Contents
Cases Cited
Referred In
Notifications
Circulars
Forms
Manuals
Acts
Rules & Regulations
Case Laws New
Ref Provisions New
Plus +
Source NTF
Summary
Similar
Note
Bookmark
Share
✓ Copied successfully !
Print
Print Options
For full text, please login
Login to TaxTMI
Verification Pending
The Email Id has not been verified. Click on the link we have sent on
Self-regulatory oversight requires member conduct standards, inspections, reporting, training and conflict-avoidance to protect investors and ensure compliance. A Self Regulatory Organization must always follow Board directions and is responsible for investor protection by specifying and implementing member conduct standards, conducting regular independent inspections and audits, promptly reporting member violations to the Board, and carrying out screening, certification, training and investor awareness programmes, while avoiding conflicts of interest and complying with corporate governance norms.
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.
Self-regulatory oversight requires member conduct standards, inspections, reporting, training and conflict-avoidance to protect investors and ensure compliance.
A Self Regulatory Organization must always follow Board directions and is responsible for investor protection by specifying and implementing member conduct standards, conducting regular independent inspections and audits, promptly reporting member violations to the Board, and carrying out screening, certification, training and investor awareness programmes, while avoiding conflicts of interest and complying with corporate governance norms.
Full Summary is available for active users!
Note: It is a system-generated summary and is for quick reference only.