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          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.

          <h1>Investor protection: merchant bankers must exercise due diligence, ensure disclosures and avoid conflicts of interest.</h1> Merchant bankers must protect investor interests by exercising due diligence, independent professional judgment and high standards of integrity; provide timely, adequate and non-misleading disclosures and issue literature; address investor inquiries and grievances; avoid, disclose and resolve conflicts of interest; maintain internal controls, supervisory resources and a code of conduct; and refrain from misrepresentation, unfair competition, market manipulation, passing unpublished price sensitive information and insider trading, with specific disclosure obligations when giving public investment advice.

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