| Chapter: I |
| PRELIMINARY |
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Regulation 1 |
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Short title and commencement
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Regulation 2 |
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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 6A |
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Requirement of fit and proper
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Regulation 6B |
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Eligibility for acquiring or holding shares in a depository
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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 8A |
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Payment of annual charge.
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Regulation 9 |
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Procedure where certificate of registration is not granted.
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| Chapter: IIA |
| GOVERNANCE OF DEPOSITORY |
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Regulation 9A |
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Governing board, disclosures and corporate governance
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Regulation 9B |
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Conditions of appointment of directors
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Regulation 9C |
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Appointment of managing director.
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Regulation 9D |
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Code of Conduct for directors and key management personnel
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Regulation 9E |
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Compensation and tenure of key management personnel.
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Regulation 9F |
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Segregation of regulatory departments.
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| Chapter: III |
| CERTIFICATE OF COMMENCEMENT OF BUSINESS |
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Regulation 10 |
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Application for grant of certificate of commencement of business
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Regulation 11 |
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Application to conform to the requirements.
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Regulation 12 |
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Furnishing of information, clarification and personal representation.
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Regulation 13 |
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Consideration of application for grant of certificate of commencement of business.
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Regulation 13A |
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Networth certificate
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Regulation 14 |
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Grant of certificate of commencement of business
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Regulation 14A |
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Depository to abide by the Code of Conduct.
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Regulation 15 |
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Procedure where certificate of commencement of business is not granted.
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| Chapter: IV |
| REGISTRATION OF PARTICIPANT |
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Regulation 16 |
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Application for grant of certificate of initial registration.
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Regulation 17 |
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Application to conform to the requirements.
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Regulation 18 |
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Furnishing information, clarification, and personal representation.
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Regulation 19 |
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Consideration of application for grant of certificate of initial registration.
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Regulation 20 |
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Grant of certificate of initial registration.
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Regulation 20A |
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Grant of certificate of permanent registration
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Regulation 20AA |
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Participants to abide by code of conduct
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Regulation 20AB |
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Acting as participant in more than one depository.
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Regulation 21 |
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Omitted
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Regulation 22 |
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Omitted
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Regulation 23 |
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Omitted
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Regulation 24 |
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Procedure where certificate of initial or permanent registration is not granted.
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Regulation 25 |
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Effect of refusal to grant certificate of permanent registration.
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| Chapter: V |
| 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 26 |
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Rights and obligations of depositories, etc.
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Regulation 27 |
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Depository to declare specific securities eligible.
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Regulation 28 |
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Security eligible for dematerialisation
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Regulation 29 |
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Agreement between depository and issuer
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Regulation 30 |
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Systems and procedures
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Regulation 31 |
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Connectivity
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Regulation 32 |
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Mechanism for investor protection
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Regulation 33 |
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Withdrawal by participant.
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Regulation 34 |
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Internal monitoring, review and evaluation of systems and controls.
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Regulation 35 |
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External monitoring, review and evaluation of systems and controls.
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Regulation 35A |
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Business Continuity Plan
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Regulation 35B |
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Wind-down Plan.
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Regulation 36 |
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Insurance against risks.
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Regulation 37 |
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Manner of keeping records
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Regulation 38 |
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Records to be maintained
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Regulation 39 |
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Co-operation with other entities.
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Regulation 39A |
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Consolidated account statement.
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Regulation 40 |
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Prohibition of assignment.
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Regulation 41 |
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Agreement by participant.
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Regulation 42 |
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Separate accounts
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Regulation 43 |
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Statement of accounts.
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Regulation 44 |
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Transfer or withdrawal by beneficial owner.
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Regulation 45 |
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Connectivity.
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Regulation 46 |
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Monitoring, reviewing and evaluating internal systems and controls.
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Regulation 47 |
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Reconciliation.
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Regulation 48 |
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Returns.
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Regulation 49 |
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Record of services.
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Regulation 50 |
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Manner of keeping records.
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Regulation 51 |
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Records to be maintained depository-wise.
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Regulation 52 |
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Prohibition of assignment.
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Regulation 53 |
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Agreement by issuer.
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Regulation 53A |
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Manner of handling share registry work
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Regulation 53B |
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Redressal of investor grievances
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Regulation 53C |
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Investor Protection Fund.
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Regulation 54 |
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Manner of surrender of certificate of security
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Regulation 55 |
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Reconciliation
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Regulation 55A |
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Audit
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Regulation 56 |
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Connectivity
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Regulation 57 |
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Information
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Regulation 58 |
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Manner of creating pledge or hypothecation
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Regulation 58A |
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Investment advice
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Regulation 58B |
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Appointment of compliance officer
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Regulation 58C |
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Equal, fair and transparent access.
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| Chapter: VA |
| LISTING OF SECURITIES |
|
Regulation 58D |
: |
Listing
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| Chapter: VI |
| INSPECTION |
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Regulation 59 |
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Board’s right to inspect.
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Regulation 60 |
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Notice before inspection and investigation.
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Regulation 61 |
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Obligations on inspection by the Board.
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Regulation 62 |
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Submission of report to the Board.
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Regulation 63 |
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Action on inspection or investigation report.
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Regulation 63A |
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Appointment of Auditor
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Regulation 63B |
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Board to recover the expenses
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Regulation 63C |
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Application of Chapter
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| Chapter: VII |
| PROCEDURE FOR ACTION IN CASE OF DEFAULT |
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Regulation 64 |
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Liability for action in case of default
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Regulation 64A |
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Liability for action in case of default by issuer or its agent
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Regulation 65 |
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Omitted
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Regulation 66 |
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Omitted
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Regulation 67 |
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Omitted
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Regulation 68 |
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Omitted
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Regulation 69 |
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Omitted
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| Chapter: VIIA |
| MISCELLANEOUS |
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Regulation 70 |
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Power to call for information.
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Regulation 71 |
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Directions by the Board
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Regulation 72 |
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Power to remove difficulties
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Regulation 73 |
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Power to specify procedures, etc. and issue clarifications
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| SCHEDULE |
|
SCHEDULE - 01 (FORM A) |
: |
Application for grant of certificate of registration as depository
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|
SCHEDULE - 01 (FORM B) |
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Certificate of registration as depository
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|
SCHEDULE - 01 (FORM C) |
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Application for grant of certificate of commencement of business as depository
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|
SCHEDULE - 01 (FORM D) |
: |
Certificate of commencement of business as depository
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|
SCHEDULE - 01 (FORM E) |
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Application for Grant of Certificate of Initial/ Permanent Registration as Participant
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|
SCHEDULE - 01 (FORM F) |
: |
Certificate of Initial/ Permanent Registration as Participant
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|
SCHEDULE - 02 (Part-A) |
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APPLICATION FEES, REGISTRATION FEES, ANNUAL CHARGE AND ANNUAL FEES
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SCHEDULE - 02 (Part-B) |
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MANNER OF PAYMENT OF APPLICATION, REGISTRATION, ANNUAL CHARGE AND ANNUAL FEES
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|
SCHEDULE - 03 |
: |
CODE OF CONDUCT FOR PARTICIPANTS
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SCHEDULE - 04 (Part-A) |
: |
CODE OF CONDUCT FOR DIRECTORS
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SCHEDULE - 04 (Part-B) |
: |
CODE OF ETHICS FOR DIRECTORS AND KEY MANAGEMENT PERSONNEL
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SCHEDULE - 05 |
: |
MEASUSRES TO ENSURE AUTONOMY OF REGULATORY DEPARTMENTS
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SCHEDULE - 06 |
: |
CODE OF CONDUCT FOR DEPOSITORIES
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