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        SEBI

        Schedule III - Code of Conduct

        Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994
        Schedules Sch
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        Code of Conduct requires bankers to an issue to maintain integrity, due diligence, disclose conflicts and avoid market manipulation. The Schedule imposes a comprehensive Code of Conduct on a Banker to an issue, requiring integrity, fairness, due diligence, prompt ethical performance, protection of investor interests, prohibition of collusion and market manipulation, timely handling of applications and payments, conflict of interest disclosure and resolution, confidentiality subject to legal compulsion, prohibition on insider trading, and maintenance of internal controls, competent staff, supervisory resources and compliance mechanisms.
                      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 requires bankers to an issue to maintain integrity, due diligence, disclose conflicts and avoid market manipulation.

                            The Schedule imposes a comprehensive Code of Conduct on a Banker to an issue, requiring integrity, fairness, due diligence, prompt ethical performance, protection of investor interests, prohibition of collusion and market manipulation, timely handling of applications and payments, conflict of interest disclosure and resolution, confidentiality subject to legal compulsion, prohibition on insider trading, and maintenance of internal controls, competent staff, supervisory resources and compliance mechanisms.


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