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TMI BlogDefinitionsX X X X Extracts X X X X X X X X Extracts X X X X ..... curities and Exchange Board of India established under section 3 of the Act; (e) certificate means a certificate of registration granted under these regulations; 1 [ (f) Change in control (i) in case of a body corporate (A) if its shares are listed on any recognised stock exchange, shall be construed with reference to the definition of control in terms of regulations framed under clause (h) of sub-section (2) of section 11 of the Act; (B) if its shares are not listed on any recognised stock exchange, shall be construed with reference to the definition of control as provided in sub-section (27) of Section 2 of the Companies Act, 2013 (18 of 2013) ; (ii) in a case other than that of a body corporate, shall be construed as any change in its le ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Financial Company registered by Reserve Bank of India; (n) NISM means the National Institute of Securities Market established by the Board; (o) price target means expectations of research analyst on the future performance of specific securities; (p) proxy adviser means any person who provide advice, through any means, to institutional investor or shareholder of a company, in relation to exercise of their rights in the company including recommendations on public offer or voting recommendation on agenda items; (q) public appearance means any participation in a conference call, seminar, forum (including interactive and non-interactive electronic forum), radio or television or internet or web or print media broadcast, authoring a print media ar ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... listed in a stock exchange, whether or not any such person has the job title of 'research analyst' and includes any other entities engaged in issuance of research report or research analysis. Explanation.-The term also includes any associated person who reports directly or indirectly to such a research analyst in connection with activities provided above; (v) research entity means an intermediary registered with Board who is also engaged in merchant banking or investment banking or brokerage services or underwriting services and issue research report or research analysis in its own name through the individuals employed by it as research analyst and includes any other intermediary engaged in issuance of research report or research an ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... research analyst or research entity; (z) subject company means the company whose securities are the subject of a research report or a public appearance; (za) stock exchange means a stock exchange recognised under section 4 of the Securities Contracts (Regulation) Act, 1956 (42 of 1956) ; (zb) third party research report means a research report produced by a person or entity other than the research analyst or research entity. (2) The words and expressions used and not defined in these regulations but defined in the Act, the Securities Contracts (Regulation) Act, 1956 (42 of 1956) , the Companies Act, 1956 and 2013 , or any rules or regulations made thereunder shall have the same meanings respectively assigned to them in those Acts, rules or ..... X X X X Extracts X X X X X X X X Extracts X X X X
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