https://www.taxtmi.com/acts?id=35527 Underwriters must protect client interests, maintain integrity and diligence, disclose and manage conflicts of interest, and not misrepresent services or underwriting commitments. They must preserve confidentiality, disclose interests when advising publicly, and avoid insider trading, market manipulation, and passing unpublished price-sensitive information. Firms must maintain internal controls, sufficient financial and supervisory resources, fit and proper personnel, an empowered compliance officer, an internal code of conduct, and promptly inform clients and boards of material regulatory, financial, or registration changes. en-us Thu, 24 Jan 2019 11:12:21 +0530 Thu, 24 Jan 2019 11:12:21 +0530 TaxTMI RSS Generator https://www.taxtmi.com/acts?id=35527 Underwriters must protect client interests, maintain integrity and diligence, disclose and manage conflicts of interest, and not misrepresent services or underwriting commitments. They must preserve confidentiality, disclose interests when advising publicly, and avoid insider trading, market manipulation, and passing unpublished price-sensitive information. Firms must maintain internal controls, sufficient financial and supervisory resources, fit and proper personnel, an empowered compliance officer, an internal code of conduct, and promptly inform clients and boards of material regulatory, financial, or registration changes. Act-Rules SEBI Thu, 24 Jan 2019 11:12:21 +0530 https://www.taxtmi.com/acts?id=35527