Merchant banker disclosure obligations require reporting of issue roles, material certification changes, capital-adequacy breaches, and periodic activity information. Merchant bankers must, when required by the Board, disclose issue-management responsibilities, changes in prior information affecting certification, ... Summary
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Merchant banker disclosure obligations require reporting of issue roles, material certification changes, capital-adequacy breaches, and periodic activity information.
Merchant bankers must, when required by the Board, disclose issue-management responsibilities, changes in prior information affecting certification, associated body corporates, and capital-adequacy breaches. Disclosure also covers issue-related activities as manager, underwriter, consultant, or adviser. Periodic reports must be submitted in the manner specified by the Board from time to time.
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