https://www.taxtmi.com/notifications?id=128560 Amendment substitutes Schedule III prescribing a Code of Conduct for Underwriters requiring protection of client interests, integrity, due diligence, confidentiality, and avoidance of misleading statements. It mandates disclosure and resolution of conflicts of interest, disclosure of interests when giving public investment advice, and a prohibition on insider trading and market manipulation. Underwriters must maintain internal controls, adequate supervisory and financial capacity, empower compliance officers, adopt internal codes of conduct, ensure personnel are fit and proper, and notify SEBI of material legal actions or adverse changes affecting clients. en-us Wed, 01 Oct 2003 00:00:00 +0530 Thu, 21 Feb 2019 15:07:00 +0530 TaxTMI RSS Generator https://www.taxtmi.com/notifications?id=128560 Amendment substitutes Schedule III prescribing a Code of Conduct for Underwriters requiring protection of client interests, integrity, due diligence, confidentiality, and avoidance of misleading statements. It mandates disclosure and resolution of conflicts of interest, disclosure of interests when giving public investment advice, and a prohibition on insider trading and market manipulation. Underwriters must maintain internal controls, adequate supervisory and financial capacity, empower compliance officers, adopt internal codes of conduct, ensure personnel are fit and proper, and notify SEBI of material legal actions or adverse changes affecting clients. Notifications SEBI Wed, 01 Oct 2003 00:00:00 +0530 https://www.taxtmi.com/notifications?id=128560