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SEBI

Home Acts & Rules SEBI Regulation Securities and Exchange Board of India (Intermediaries) Regulations, 2008 Chapters List This

Securities and Exchange Board of India (Intermediaries) Regulations, 2008

Chapter: I
PRELIMINARY
Regulation 1 : Short title and commencement
Regulation 2 : Definitions
Chapter: II
REGISTRATION OF INTERMEDIARIES
Regulation 3 : Application for grant of certificate
Regulation 4 : Disclosure of information.
Regulation 5 : Furnishing of information and clarification
Regulation 6 : Verification of information
Regulation 7 : Consideration of application
Regulation 9 : Conditions of certificate
Regulation 10 : Effect of refusal to grant certificate or expiry of certificate
Regulation 11 : Period of validity of certificate
Chapter: III
GENERAL OBLIGATIONS OF INTERMEDIARIES
Regulation 12 : General obligations
Regulation 13 : Redressal of investor grievances
Regulation 14 : Appointment of compliance officer
Regulation 15 : Investment advice
Regulation 16 : Code of conduct
Chapter: IV
INSPECTION AND DISCIPLINARY PROCEEDINGS
Regulation 17 : Right of inspection by the Board.
Regulation 18 : Notice before inspection
Regulation 19 : Obligations of Intermediary on inspection.
Regulation 20 : Appointment of auditor or valuer
Regulation 21 : Submission of report to the Board.
Chapter: V
ACTION IN CASE OF DEFAULT AND MANNER OF SUSPENSION OR CANCELLATION OF CERTIFICATE
Regulation 22 : Definitions
Regulation 23 : Cancellation or suspension of registration and other actions
Regulation 24 : Appointment of designated authority
Regulation 25 : Holding of enquiry
Regulation 26 : Recommendation of action
Regulation 27 : Order
Regulation 28 : Omitted
Regulation 29 : Common order
Regulation 30 : Intimation of the order
Regulation 30A : Special procedure for action on expulsion from membership
Regulation 31 : Surrender of any certificate of registration
Regulation 32 : Effect of debarment, suspension, cancellation or surrender
Regulation 33 : Appeal to Securities Appellate Tribunal
Chapter: VA
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Regulation 33A : Situations when summary procedure to be followed
Regulation 33B : Procedure to be followed under this chapter
Regulation 33C : Publication of order
Chapter: V-B
POWER TO RELAX STRICT ENFORCEMENT OF THE REGULATIONS
Regulation 33D : Exemption from enforcement of the regulations in special cases
Chapter: VI
MISCELLANEOUS
Regulation 34 : Manner of service of notice and order and publication of order.
Regulation 35 : Directions
Regulation 36 : Power of the Board to issue clarifications
Regulation 37 : Amendments to other regulations
Regulation 38 : Repeal and savings
SCHEDULE
SCHEDULE - I : Application for grant of certificate
SCHEDULE - II : Criteria for determining a ‘fit and proper person’
SCHEDULE - III : CODE OF CONDUCT
SCHEDULE - IV : Amendments to other regulations
 
 
 

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