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SEBI

Home Acts & Rules SEBI Old-Provisions Securities and Exchange Board of India (Central Database Of Market Participants) Regulations, 2003 Chapters List This

Securities and Exchange Board of India (Central Database Of Market Participants) Regulations, 2003
Chapter: I
PRELIMINARY
Regulation 1 : Short Title and Commencement
Regulation 2 : Definitions
Chapter: II
REQUIREMENT OF OBTAINING UNIQUE IDENTIFICATION NUMBERS
Regulation 3 : Unique Identification Numbers for market participants
Regulation 4 : Specified intermediary and other entity to obtain unique identification numbers
Regulation 5 : Specified listed company to obtain unique identification number
Regulation 5A : Power of the Board to extend time in respect of related persons
Regulation 6 : Specified investors to obtain unique identification numbers
Regulation 7 : Application by specified intermediary or other entity
Regulation 8 : Application by specified listed company
Regulation 9 : Application by specified investor
Regulation 10 : Person holding a unique identification number not required to obtain another unique identification number
Regulation 11 : Maintenance of records
Chapter: III
GRANT AND REVOCATION OF UNIQUE IDENTIFICATION NUMBERS
Regulation 12 : Format of application
Regulation 13 : Procedure on receipt of application
Regulation 14 : Criteria to determine specified intermediaries, specified listed companies and specified investors
Regulation 15 : Duty not to make false statements and revocation of unique identification number
Regulation 16 : Revocation of unique identification number
Regulation 16A : Power of the Board to issue clarifications
Chapter: IV
CONTINUING OBLIGATIONS
Regulation 17 : Duty to intimate changes
Regulation 18 : Duty to seek unique identification numbers for newly added related persons
Chapter: V
ACTION IN CASE OF VIOLATION
Regulation 19 : Action for acting, dealing etc. without obtaining unique identification number
Regulation 20 : Action for giving false statement
Regulation 21 : Action for failure to intimate changes
Regulation 22 : Action for failure to make application for newly added related persons
Chapter: VI
POWER TO RELAX STRICT ENFORCEMENT OF THE REGULATIONS
Regulation 23 : Exemption from enforcement of the regulations in special cases
 
 
 

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