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)
Chinese Wall policy protects segregation of regulatory departments and limits intra-entity information sharing on a need-to-know basis. Depositories must implement a Chinese Wall policy to segregate regulatory functions from other departments, prohibiting regulatory employees from sharing regulatory activity information with non-regulatory staff; physical and access-control segregation is required, with exceptional disclosures allowed only on a strict need-to-know basis and intimated to the Compliance Officer.
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.
Chinese Wall policy protects segregation of regulatory departments and limits intra-entity information sharing on a need-to-know basis.
Depositories must implement a Chinese Wall policy to segregate regulatory functions from other departments, prohibiting regulatory employees from sharing regulatory activity information with non-regulatory staff; physical and access-control segregation is required, with exceptional disclosures allowed only on a strict need-to-know basis and intimated to the Compliance Officer.
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