December 2020
Intermediate to advanced
857 pages
42h 3m
English
Content preview from Business Environment, 4th Edition by Pearson
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156 | Chapter 6
Registering and regulating the working of stock brokers, sub-brokers, share transfer
agents, merchant bankers, underwriters, portfolio managers, investment advisors,
and such other intermediaries who are associated with securities in any manner
Promoting of investors education and training of intermediaries in securities market
Prohibiting insider trading in securities
Regulating substantial acquisition of shares and take over of companies
Calling information, undertaking inspection, conducting enquiries and audits of
the stock exchanges, intermediaries, and self-regulatory organizations
Performing such functions ...
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