9911796707
TMI BlogCODE OF CONDUCT FOR PARTICIPANTSX X X X Extracts X X X X X X X X Extracts X X X X ..... of investors. 2. A participant shall always endeavour to- (a) render the best possible advice to the clients having regard to the clients needs and the environments and his own professional skills; (b) ensure that all professional dealings are effected in a prompt, effective and efficient manner; (c) inquiries from investors are adequately dealt with; (d) grievances of investors are redressed with ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... shall not indulge in any unfair competition, which is likely to harm the interests of other participants or investors or is likely to place such other participants in a disadvantageous position while competing for or executing any assignment. 8. A participant shall not make any exaggerated statement whether oral or written to the clients either about its qualifications or capability to render cert ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... s, 2003. 12. A participant shall not make any untrue statement or suppress any material fact in any documents, reports, papers or information furnished to the Board. 13. A participant shall not neglect or fail or refuse to submit to the Board or other agencies with which it is registered, such books, documents, correspondence, and papers or any part thereof as may be demanded/requested from time t ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ate back up is always available with it. 18. A participant shall provide adequate freedom and powers to its compliance officer for the effective discharge of his duties. 19. A participant shall ensure that it has satisfactory internal control procedures in place as well as adequate financial and operational capabilities which can be reasonably expected to take care of any losses arising due to the ..... X X X X Extracts X X X X X X X X Extracts X X X X
|
