| Chapter: I |
| PRELIMINARY |
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Regulation 1 |
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Short title and commencement
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Regulation 2 |
: |
Definitions
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| Chapter: II |
| REGISTRATION OF DEPOSITORY |
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Regulation 3 |
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Application for grant of certificate of registration
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Regulation 4 |
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Application to conform to the requirements
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Regulation 5 |
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Furnishing of information, clarification and personal representation
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Regulation 6 |
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Consideration of application for grant of certificate of registration
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Regulation 7 |
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Grant of certificate of registration
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Regulation 8 |
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Payment of annual fee
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Regulation 9 |
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Payment of annual charge
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Regulation 10 |
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Procedure where certificate of registration is not granted
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| Chapter: III |
| CERTIFICATE OF COMMENCEMENT OF BUSINESS |
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Regulation 11 |
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Application for grant of certificate of commencement of business
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Regulation 12 |
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Application to conform to the requirements
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Regulation 13 |
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Furnishing of information, clarification and personal representation
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Regulation 14 |
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Consideration of application for grant of certificate of commencement of business
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Regulation 15 |
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Networth certificate
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Regulation 16 |
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Grant of certificate of commencement of business
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Regulation 17 |
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Depository to abide by the Code of Conduct
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Regulation 18 |
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Procedure where certificate of commencement of business is not granted
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| Chapter: IV |
| OWNERSHIP OF DEPOSITORY |
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Regulation 19 |
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Definitions
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Regulation 20 |
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General Conditions
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Regulation 21 |
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Shareholding in a Depository
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Regulation 22 |
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Eligibility for acquiring or holding shares in a depository
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Regulation 22A |
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Monitoring of shareholding limits
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Regulation 23 |
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Requirement and criteria of fit and proper
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| Chapter: V |
| GOVERNANCE OF DEPOSITORY |
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Regulation 24 |
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Composition of the governing board
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Regulation 24A |
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Nominees of the Board on the governing board of a depository
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|
Regulation 25 |
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Conditions of appointment of directors
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Regulation 26 |
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Appointment of Managing Director
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Regulation 27 |
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Code of Conduct for the governing board, directors, committee members and key management personnel
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Regulation 28 |
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Compensation and tenure of key management personnel
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Regulation 29 |
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Segregation of functions
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Regulation 30 |
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Statutory committees
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Regulation 30A |
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Grievance Redressal Panel
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Regulation 31 |
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Disclosure and corporate governance norms
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| Chapter: VI |
| REGISTRATION OF PARTICIPANT |
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Regulation 32 |
: |
Application for grant of certificate of registration
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Regulation 33 |
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Application to conform to the requirements
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Regulation 34 |
: |
Furnishing information, clarification, and personal representation
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Regulation 35 |
: |
Consideration of application for grant of certificate of registration
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Regulation 36 |
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Grant of certificate of registration
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Regulation 37 |
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Participants to abide by code of conduct
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Regulation 38 |
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Acting as participant in more than one depository
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Regulation 39 |
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Procedure where certificate of registration is not granted
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| Chapter: VII |
| RIGHTS AND OBLIGATIONS OF DEPOSITORIES, PARTICIPANTS, ISSUERS, MANNER OF SURRENDER OF CERTIFICATE OF SECURITY AND CREATION OF PLEDGE OR HYPOTHECATION |
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Regulation 40 |
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Rights and obligations of depositories, etc.
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Regulation 41 |
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Depository to declare specific securities eligible
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Regulation 42 |
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Security eligible for dematerialisation
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Regulation 43 |
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Agreement between depository and issuer
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Regulation 44 |
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Systems and procedures
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Regulation 45 |
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Connectivity
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Regulation 46 |
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Mechanism for investor protection
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Regulation 47 |
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Withdrawal by participant
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Regulation 48 |
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Internal monitoring, review and evaluation of systems and controls
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Regulation 49 |
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External monitoring, review and evaluation of systems and controls
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Regulation 50 |
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Business Continuity Plan
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Regulation 51 |
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Wind-down Plan.
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Regulation 52 |
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Insurance against risks
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Regulation 53 |
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Manner of keeping records
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Regulation 54 |
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Records to be maintained.
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Regulation 55 |
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Co-operation with other entities
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Regulation 56 |
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Consolidated account statement
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Regulation 57 |
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Prohibition of assignment
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Regulation 58 |
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Agreement by participant
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Regulation 59 |
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Separate accounts
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Regulation 60 |
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Statement of accounts
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Regulation 61 |
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Transfer or withdrawal by beneficial owner
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Regulation 62 |
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Connectivity
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Regulation 63 |
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Monitoring, reviewing and evaluating internal systems and controls
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Regulation 64 |
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Reconciliation
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Regulation 65 |
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Returns
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Regulation 66 |
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Record of services
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Regulation 67 |
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Manner of keeping records
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Regulation 68 |
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Records to be maintained depository-wise
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Regulation 69 |
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Prohibition of assignment
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Regulation 70 |
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Agreement by issuer
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Regulation 71 |
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Manner of handling share registry work
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Regulation 72 |
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Redressal of investor grievances
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Regulation 73 |
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Investor Protection Fund
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Regulation 74 |
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Manner of surrender of certificate of security
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Regulation 75 |
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Reconciliation
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Regulation 76 |
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Audit
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Regulation 77 |
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Connectivity
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Regulation 78 |
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Information
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Regulation 79 |
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Manner of creating pledge or hypothecation
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Regulation 80 |
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Investment advice
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Regulation 81 |
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Appointment of compliance officer
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Regulation 81A |
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Appointment of the chief risk officer
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Regulation 82 |
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Equal, fair and transparent access
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Regulation 82A |
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Information and Data Sharing Policy
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| Chapter: VIII |
| LISTING OF SECURITIES |
|
Regulation 83 |
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Listing
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| Chapter: IX |
| INSPECTION |
|
Regulation 83A |
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Power to call for information
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Regulation 84 |
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Board’s right to inspect
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Regulation 85 |
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Notice before inspection and investigation.
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Regulation 86 |
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Obligations on inspection by the Board
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Regulation 87 |
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Submission of report to the Board
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Regulation 88 |
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Action on inspection or investigation report
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Regulation 89 |
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Appointment of Auditor
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Regulation 90 |
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Board to recover the expenses
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Regulation 91 |
: |
Application of Chapter
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| Chapter: X |
| PROCEDURE FOR ACTION IN CASE OF DEFAULT |
|
Regulation 92 |
: |
Liability for action in case of default
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|
Regulation 93 |
: |
Liability for action in case of default by issuer or its agent
|
| Chapter: X-A |
| POWER TO RELAX STRICT ENFORCEMENT OF THE REGULATIONS |
|
Regulation 93A |
: |
Exemption from enforcement of the regulations in special cases
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| Chapter: XI |
| MISCELLANEOUS |
|
Regulation 94 |
: |
Power to call for information (Omitted)
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Regulation 95 |
: |
Directions by the Board (Omitted)
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|
Regulation 96 |
: |
Power to remove difficulties
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|
Regulation 96A |
: |
Power to relax the strict enforcement of the regulations
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|
Regulation 97 |
: |
Power to specify procedures, etc. and issue clarifications
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|
Regulation 98 |
: |
Repeal and savings
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| SCHEDULE |
|
SCHEDULE - I |
: |
Application for grant of certificate of registration as depository
|
|
SCHEDULE - II (PART A) |
: |
APPLICATION FEES, REGISTRATION FEES, ANNUAL CHARGE AND ANNUAL FEES
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|
SCHEDULE - II (PART B) |
: |
MANNER OF PAYMENT OF APPLICATION, REGISTRATION, ANNUAL CHARGE AND ANNUAL FEES
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|
SCHEDULE - II (PART C) |
: |
PROCEDURE FOR APPOINTMENT OF DIRECTORS
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SCHEDULE - II (PART D) |
: |
Norms for compensation policy
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|
SCHEDULE - II (PART E) |
: |
Monitoring of shareholding limits
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|
SCHEDULE - III |
: |
CODE OF CONDUCT FOR PARTICIPANTS
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|
SCHEDULE - IV |
: |
MEASUSRES TO ENSURE AUTONOMY OF REGULATORY DEPARTMENTS
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