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Home Acts & Rules SEBI Regulation Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992 Chapter III = GENERAL OBLIGATIONS AND RESPONSIBILITIES Chapters List This

GENERAL OBLIGATIONS AND RESPONSIBILITIES - Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992
Chapter: III
GENERAL OBLIGATIONS AND RESPONSIBILITIES
Regulation 13 : Code of conduct
Regulation 13A : Merchant banker not to associate with any business other than that of the securities market
Regulation 14 : Maintenance of books of account, records etc.
Regulation 15 : Submission of half-yearly results
Regulation 16 : Maintenance of books of account, records and other documents.
Regulation 17 : Report on steps taken on auditor’s report.
Regulation 18 : Omitted
Regulation 19 : Restriction on appointment of lead managers (Omitted)
Regulation 20 : Responsibilities of lead managers
Regulation 21 : Lead merchant banker not to associate with a merchant banker without registration
Regulation 21A : Merchant banker not to act as such for an associate
Regulation 22 : Underwriting obligations
Regulation 22A : Agreement with clients
Regulation 22B : General responsibilities of a merchant banker as an underwriter
Regulation 23 : Submission of due diligence certificate.
Regulation 24 : Omitted
Regulation 24A : Omitted
Regulation 25 : Omitted
Regulation 26 : Acquisition of shares prohibited.
Regulation 27 : Information to the Board
Regulation 28 : Disclosures to the Board
Regulation 28A : Appointment of compliance officer
Regulation 28B : Dispute Resolution
Regulation 28C : Grievance Redressal Mechanism
 

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