Tag Archives | Capital Issues

Top 5 Underwriting Agencies in India

This article throws light upon the top five underwriting agencies in India. The agencies are: 1. Brokers 2. Private Investment and Insurance Companies 3. Commercial Banks 4. Development Banks and Other Financial Institutions 5. Consortium Underwriting. Agency # 1. Brokers: The private firms of stock brokers have been underwriting issues from very early times. But their participation has been on [...]

By |2016-06-28T09:22:05+05:30June 28, 2016|Capital Issues|Comments Off on Top 5 Underwriting Agencies in India
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8 Important SEBI Rules and Regulations, 1993

This article throws light upon the eight important SEBI rules and regulations in regard to underwriters. The rules and regulations are: 1. Registration 2. Code of Conduct 3. Agreement with Clients 4. General Responsibilities of an Underwriter 5. Proper Books of Accounts and Records, etc. 6. Appointment of Compliance Officer 7. Board's Right to Inspect 8. Liability in Case of [...]

By |2016-06-28T09:22:04+05:30June 28, 2016|Capital Issues|Comments Off on 8 Important SEBI Rules and Regulations, 1993
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