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Home Acts & Rules SEBI Regulation SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002 Chapters List Chapter II ENQUIRY PROCEEDINGS This
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Regulation 6 - Issuance of notice - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

Extract

..... 1[Issuance of notice. 6. 2[(1) Where an Enquiry Officer is appointed, he shall, if he finds reasonable grounds to do so, issue show cause notice to the intermediary concerned calling up on it to show cause as to why further action should not be taken against it under these Regulations, specifying therein the nature of the contraventions alleged to have been committed by him. (i) to submit within a period to be specified in the notice, 3[***] not exceeding twenty-one days, a written statement, if .....

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Regulation 6 - Issuance of notice - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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..... n, sub-regulation (1) read as under:- (1) where it is proposed to hold an enquiry against an intermediary under these regulations an officer of the Board specified by the Chairman or the member in this behalf, shall issue to the intermediary a notice starting therein the contravention of the relevant regulations alleged to have been committed by the intermediary 3 Word ordinarily omitted by the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty (Second Amendment) Regulat .....

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Regulation 6 - Issuance of notice - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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