NISM-Series IX: Merchant Banking Certification Exam Notes
Page 45 Of 79
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Escrow Account Usage: Holds investor funds until allotment.
Post-Issue Reporting: Merchant bankers submit compliance reports to SEBI.
Due Diligence by Merchant Bankers: Verify issuer’s disclosures and compliance.
Public Announcement: Discloses issue details, published in newspapers.
Lead Manager Responsibilities: Coordinate issue process, ensure regulatory compliance.
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