Duty as an underwriter

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.... and its personnel acts in an ethical manner in all its dealings with a body corporate making an issue of securities (hereinafter referred to in this chapter as "the issuer"); (c) not make any statement, either oral or written, which would misrepresent- (i) the services that the underwriter is capable of performing for its client, or has rendered to any other issuer company; ....

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.... material change in financials (which may adversely affect the interests of clients or investors) is promptly informed to the clients; (i) Upon happening of any event under clause (h), ensure that any business remaining outstanding is transferred to another registered person in accordance with any instructions of the affected clients or investors; (j) not indulge in any unfair co....