Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994

Chapter: I
PRELIMINARY
Regulation 1	:	Short title and commencement
Regulation 2	:	Definitions
Chapter: II
REGISTRATION OF BANKERS TO AN ISSUE
Regulation 3	:	Application for grant of certificate of registration
Regulation 4	:	Application to conform to the requirements.
Regulation 5	:	Furnishing of information, clarification and personal representation.
Regulation 6	:	Consideration of application.
Regulation 6A	:	Criteria for fit and proper person
Regulation 7	:	Grant of certificate of registration
Regulation 7A	:	Omitted
Regulation 8	:	Omitted
Regulation 8A	:	Conditions of registration
Regulation 8B	:	Omitted
Regulation 9	:	Procedure where registration is not granted
Regulation 10	:	Omitted
Regulation 11	:	Payment of fees and the consequences of failure to pay fees
Chapter: III
GENERAL OBLIGATIONS AND RESPONSIBILITIES
Regulation 12	:	Maintenance of books of account, records and the documents
Regulation 13	:	Furnishing of information to the Board
Regulation 14	:	Agreement with bodies corporate
Regulation 15	:	Board to be informed of any disciplinary action taken by the Reserve Bank
Regulation 16	:	Code of conduct
Regulation 16A	:	Appointment of compliance officer
Regulation 16B	:	Grievance Redressal Mechanism
Chapter: IV
PROCEDURE FOR INSPECTION
Regulation 17	:	Inspection of Banker to an Issue
Regulation 18	:	Purpose of inspection
Regulation 19	:	Procedure for inspection
Regulation 20	:	Obligations of banker to an issue on inspection.
Regulation 21	:	Submission of report to the Board.
Regulation 22	:	Action on inspection or investigation report
Chapter: V
PROCEDURE FOR ACTION IN CASE OF DEFAULT
Regulation 23	:	Liability for action in case of default
Regulation 24	:	Omitted
Regulation 25	:	Omitted
Regulation 26	:	Omitted
Regulation 27	:	Omitted
Regulation 28	:	Omitted
Regulation 29	:	Omitted
Regulation 30	:	Omitted
Regulation 31	:	Omitted
Chapter: VI
POWER TO RELAX STRICT ENFORCEMENT OF THE REGULATIONS
Regulation 32	:	Exemption from enforcement of the regulations in special cases
SCHEDULE
SCHEDULE - I	:	Application for Grant of Certificate of Registration as Banker to the Issue
SCHEDULE - II	:	FEES
SCHEDULE - III	:	CODE OF CONDUCT