https://www.taxtmi.com/acts?id=51510 The schedule prescribes a for capital market intermediaries requiring them to protect investor interests by exercising due diligence, providing suitable advice, maintaining confidentiality, avoiding manipulative practices and insider trading, and disclosing and managing conflicts of interest. It imposes organisational requirements-adequate internal controls, fit and proper personnel, empowered compliance officers, records and audit trails-and assigns senior management primary responsibility for adherence. Specific intermediary categories (broker dealers, credit rating agencies, custodians, distributors, advisers, bankers to issue, research entities, etc.) have tailored duties on disclosures, suitability assessments, prompt execution and settlement, methodology transparency, and advertisement standards. en-us Fri, 06 Jun 2025 18:09:15 +0530 Fri, 06 Jun 2025 18:09:15 +0530 TaxTMI RSS Generator https://www.taxtmi.com/acts?id=51510 The schedule prescribes a for capital market intermediaries requiring them to protect investor interests by exercising due diligence, providing suitable advice, maintaining confidentiality, avoiding manipulative practices and insider trading, and disclosing and managing conflicts of interest. It imposes organisational requirements-adequate internal controls, fit and proper personnel, empowered compliance officers, records and audit trails-and assigns senior management primary responsibility for adherence. Specific intermediary categories (broker dealers, credit rating agencies, custodians, distributors, advisers, bankers to issue, research entities, etc.) have tailored duties on disclosures, suitability assessments, prompt execution and settlement, methodology transparency, and advertisement standards. Act-Rules Indian Laws Fri, 06 Jun 2025 18:09:15 +0530 https://www.taxtmi.com/acts?id=51510