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SEBI

Home Acts & Rules SEBI Regulation Securities and Exchange Board of India {KYC (Know Your Client) Registration Agency} Regulations, 2011 Chapters List This

Securities and Exchange Board of India {KYC (Know Your Client) Registration Agency} Regulations, 2011
Chapter: I
PRELIMINARY
Regulation 1 : Short title & commencement
Regulation 2 : Definitions
Chapter: II
REGISTRATION OF KRA
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 for grant of certificate of registration
Regulation 7 : Grant of certificate of registration
Regulation 8 : Omitted
Regulation 9 : Criteria for fit and proper person
Regulation 10 : KRA to abide by code of conduct
Regulation 11 : Procedure where certificate of registration is not granted
Regulation 12 : Omitted
Regulation 13 : Surrender of certificate of registration
Chapter: III
FUNCTIONS AND OBLIGATIONS OF KRA AND INTERMEDIARY
Regulation 14 : Documents to be obtained by the KRA for the purpose of KYC
Regulation 15 : Functions and obligations of the KRA
Regulation 16 : Functions and obligations of an Intermediary
Regulation 16A : Sharing of KYC information in the financial sector.
Regulation 16B : Dispute Resolution
Regulation 16C : Grievance Redressal Mechanism
Regulation 17 : Power of the Board to issue clarifications
Chapter: IV
INSPECTION of KRA
Regulation 18 : Board's right to inspect
Regulation 19 : Notice before inspection
Regulation 20 : Obligations upon inspection by the Board
Regulation 21 : Submission of Report to the Board
Regulation 22 : Communication of findings, etc.
Regulation 23 : Action on inspection report
Regulation 24 : Appointment of Auditor
Chapter: V
PROCEDURE FOR ACTION IN CASE OF DEFAULT
Regulation 25 : Liability for action in case of default
Chapter: VI
POWER TO RELAX STRICT ENFORCEMENT OF THE REGULATIONS
Regulation 26 : Exemption from enforcement of the regulations in special cases
SCHEDULE
SCHEDULE - I : Application for grant of certificate of registration
SCHEDULE - II : PAYMENT OF FEES
SCHEDULE - III : CODE OF CONDUCT
 
 
 

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