Regulation 13 - Conditions of certificate - Securities and Exchange Board of India (Research Analysts) Regulations, 2014

Conditions of certificate. 13. The certificate granted under regulation 9 shall, inter alia, be subject to the following conditions:- (i) the research analyst shall abide by the provisions of the Act and these regulations; (ii) the research analyst shall forthwith inform the Board in writing, if any information or particulars previously submitted to the Board are found to be false or misleading in any material particular or if there is any material change in the information already submitted; (iii) research analyst registered under these regulations shall use the term research analyst in all correspondences with its clients 1 [ : ] 2 [ Provided that part-time research analyst registered under these regulations shall use the term part-time research analyst in all correspondences with its clients. ] 3 [ (iv) the number of clients of a part-time research analyst shall not exceed seventy-five in total at any point of time. ] **************** NOTES:- 1. Substituted vide Notification No. SEBI/LAD-NRO/GN/2024/220 dated 16-12-2024 before it was read as, . 2. Inserted vide Notification No. SEBI/LAD-NRO/GN/2024/220 dated 16-12-2024 3. Inserted vide Notification No. SEBI/LAD-NRO/GN/2024/220 dated 16-12-2024