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Home Acts & Rules SEBI Old-Provisions Securities and Exchange Board of India (Underwriters) Regulations, 1993 Chapter III = GENERAL OBLIGATIONS AND RESPONSIBILITIES Chapters List This

GENERAL OBLIGATIONS AND RESPONSIBILITIES - Securities and Exchange Board of India (Underwriters) Regulations, 1993

Chapter: III
GENERAL OBLIGATIONS AND RESPONSIBILITIES
Regulation 13	:	To abide by the Code of Conduct
Regulation 14	:	Agreement with clients
Regulation 15	:	General responsibilities of an underwriter.
Regulation 16	:	To maintain proper books of account and records, etc.
Regulation 17	:	Period of maintenance of books of account, records and other documents.
Regulation 17A	:	Appointment of compliance officer
Regulation 18	:	Power to call for information.

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