Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) (Amendment) Regulations, 2003. - S.O. No.1157(E) - SEBI/LAD/DOP/18341/2003 - SEBI
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Registrar conduct standards require due diligence, conflict disclosure, prompt investor redressal and compliance with record-transfer obligations. The amended Code of Conduct requires Registrars to maintain integrity, exercise due diligence and independent professional judgment, verify listing before dematerialisation, attend promptly to investor inquiries and grievances, and ensure timely transfer, dematerialisation/rematerialisation and distribution of corporate benefits. Registrars must avoid and disclose conflicts of interest and adopt mechanisms to resolve them, maintain adequate internal controls and data continuity with backups, cooperate with the Board, comply with Ombudsman awards, hand over client records within one month of contract termination or registration cancellation, and refrain from market manipulation or disclosure of unpublished price sensitive information.
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.
Registrar conduct standards require due diligence, conflict disclosure, prompt investor redressal and compliance with record-transfer obligations.
The amended Code of Conduct requires Registrars to maintain integrity, exercise due diligence and independent professional judgment, verify listing before dematerialisation, attend promptly to investor inquiries and grievances, and ensure timely transfer, dematerialisation/rematerialisation and distribution of corporate benefits. Registrars must avoid and disclose conflicts of interest and adopt mechanisms to resolve them, maintain adequate internal controls and data continuity with backups, cooperate with the Board, comply with Ombudsman awards, hand over client records within one month of contract termination or registration cancellation, and refrain from market manipulation or disclosure of unpublished price sensitive information.
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