Continuous code-of-conduct compliance binds intermediaries and their directors, officers, employees, and key management personnel to prescribed conduct standards. Regulation 16 imposes a continuous obligation on every intermediary and its directors, officers, employees and key management personnel to abide by the ... Summary
Securities and Exchange Board of India (Intermediaries) Regulations, 2008
Continuous code-of-conduct compliance binds intermediaries and their directors, officers, employees, and key management personnel to prescribed conduct standards.
Regulation 16 imposes a continuous obligation on every intermediary and its directors, officers, employees and key management personnel to abide by the code of conduct specified in Schedule III. Compliance applies both to the intermediary and the identified categories of persons associated with it, requiring ongoing adherence to the prescribed conduct standards.
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