183. Rules

listing and trading of securities in an exchange and the subsequent issue of any additional securities by way of rights or bonus or otherwise by listed public companies or delisting of such companies;

regulation of listed foreign entities in respect of listing and trading in an exchange and other related matters arising therefrom;

disclosures by market intermediaries about security transactions by persons who acquired or disposed of securities and by an exchange about security transactions;

proper maintenance of books, records, accounts and audits by a market institution, market intermediary and regular reporting by such market institution and market intermediary to the Commission of their affairs;

the procedure to be followed in the cancellation or suspension of a licence issued or a registration granted under this Act;

the annual audit of the books, records, accounts and the preparation of financial statements by a market institution and market intermediary;

regulation of takeovers or mergers where the target of such takeover or merger is a listed public company;

a code of conduct to be observed by the trustee and an issuer of securities and a managing company of a collective investment scheme and a code on the operation and approval of a collective investment scheme;

matters in respect of which rules are required by this Act to be made;

the prudential requirements, fit and proper criteria, record keeping and other documentation systems to be followed by a market institution and market intermediary;

the form and contents of prospectus proposed to be issued by a listed public company or a public company which has applied for a listing or a listed foreign entity;

the operation of securities in a margin account by a stock broker or by a margin provider;

the business affairs and activities of a market institution and market intermediaries, in relation to listed securities and exchange traded derivatives;

the disclosure and reporting and the provision of information by listed public companies, listed foreign entities and other unlisted companies coming within the purview of this Act;

the rejection of applications for listing made to an exchange and the suspension and cancellation of listing by an exchange;

in relation to the trading of derivative contracts carried out by utilizing the facilities of a licensed derivatives exchange;

the regulation of the activities of market makers, stock lenders and stock borrowers and on the regulation of short selling;

the establishment and operation of a fidelity fund or compensation fund for an exchange; and

provision for settlement of disputes between client and market intermediary and between the respective participants or members and market institutions.