9911796707
TMI BlogCode of ConductX X X X Extracts X X X X X X X X Extracts X X X X ..... of a intermediary) ] to these regulations, without diluting the provisions of these regulations in any manner. 5 [ Explanation For the avoidance of doubt it is clarified that intermediaries, which are listed, would be required to formulate a code of conduct to regulate, monitor and report trading by their designated persons, by adopting the minimum standards set out in Schedule B with respect to trading in their own securities and in Schedule C with respect to trading in other securities. ] NOTE: It is intended that every company whose securities are listed on stock exchanges and every 6 [ intermediary ] registered with SEBI is mandatorily required to formulate a code of conduct governing trading by 7 [ designated persons and their immediat ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... n. This provision would mandate all of them to formulate a code of conduct. ] (3) Every listed company, 11 [ intermediary ] and other persons formulating a code of conduct shall identify and designate a compliance officer to administer the code of conduct and other requirements under these regulations. NOTE: This provision is intended to designate a senior officer as the compliance officer with the responsibility to administer the code of conduct and monitor compliance with these regulations. 12 [(4) For the purpose of sub regulation (1) and (2), the board of directors or such other analogous authority shall in consultation with the compliance officer specify the designated persons to be covered by the code of conduct on the basis of their ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... NRO/GN/2018/59 Dated 31-12-2018 w.e.f. 01-04-2019 before it was read as employees and other connected persons 4. Inserted vide SEBI/LAD-NRO/GN/2018/59 Dated 31-12-2018 w.e.f. 01-04-2019 5. Inserted vide SEBI/LAD-NRO/GN/2018/59 Dated 31-12-2018 w.e.f. 01-04-2019 6. Substituted vide SEBI/LAD-NRO/GN/2018/59 Dated 31-12-2018 w.e.f. 01-04-2019 before it was read as market intermediary 7. Substituted vide SEBI/LAD-NRO/GN/2018/59 Dated 31-12-2018 w.e.f. 01-04-2019 before it was read as its employees 8. Substituted vide SEBI/LAD-NRO/GN/2018/59 Dated 31-12-2018 w.e.f. 01-04-2019 before it was read as schedule 9. Substituted vide SEBI/LAD-NRO/GN/2018/59 Dated 31-12-2018 w.e.f. 01-04-2019 before it was read as, (2) Every other person who is required t ..... X X X X Extracts X X X X X X X X Extracts X X X X
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