Chapter V - RIGHTS AND OBLIGATIONS OF DEPOSITORIES, PARTICIPANTS, ISSUERS, MANNER OF SURRENDER OF CERTIFICATE OF SECURITY AND CREATION OF PLEDGE OR HYPOTHECATION (From Regulation 26 to Regulation 58C)
Code of Conduct for depositories requires compliance with law, investor protection and robust participant oversight measures. The Code of Conduct mandates that a depository comply with all applicable laws and regulatory directions, adopt investor protection and education measures, treat applicants and participants fairly, promptly report violations by participants or issuers to the Board, promote best business practices, avoid conflicts of interest and unfair competition, accept responsibility for employee acts or omissions, and monitor participant compliance to safeguard investor interests and market integrity.
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 for depositories requires compliance with law, investor protection and robust participant oversight measures.
The Code of Conduct mandates that a depository comply with all applicable laws and regulatory directions, adopt investor protection and education measures, treat applicants and participants fairly, promptly report violations by participants or issuers to the Board, promote best business practices, avoid conflicts of interest and unfair competition, accept responsibility for employee acts or omissions, and monitor participant compliance to safeguard investor interests and market integrity.
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