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TMI BlogLimitations on publication of research report, public appearance and conduct of business, etc.X X X X Extracts X X X X X X X X Extracts X X X X ..... r research entity shall not publish or distribute research report or research analysis or make public appearance regarding a subject company for which he has acted as a manager or co-manager at any time falling within a period of: (a) Forty days immediately following the day on which the securities are priced if the offering is an initial public offering; or (b) Ten days immediately following the ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... which the security was offered to the public. (3) Research analyst or research entity who has acted as a manager or co-manager of public offering of securities of a company shall not publish or distribute a research report or make a public appearance concerning that company within fifteen days prior to date of entering into and fifteen days after the expiration/waiver/termination of a lock-up agre ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... d deal road shows. (5) Research analyst or individuals employed as research analyst by research entity shall not engage in any communication with a current or prospective client in the presence of personnel from investment banking or merchant banking or brokerage services divisions or company management about an investment banking services transaction. (6) Investment banking or merchant banking or ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ) Research analyst or research entity shall not provide any promise or assurance of favourable review in its research report to a company or industry or sector or group of companies or business group as consideration to commence or influence a business relationship or for the receipt of compensation or other benifits. (9) Research analyst or research entity shall not issue a research report that i ..... X X X X Extracts X X X X X X X X Extracts X X X X
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