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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 13 - Imposition of penalty - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

Extract

..... he intermediary to take up any new assignment or mandate or launch a new scheme for a period upto six months; iii) debarring a partner or a whole time director of the intermediary from carrying out the activities as intermediary in the intermediary firm or company and other capital market related institutions for a period upto six months ; iv) suspension of certificate of registration for a period upto three months; v) debarring a branch or an office of the intermediary from carrying out the act .....

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Regulation 13 - Imposition of penalty - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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..... enty days from the date of receipt of reply of the intermediary] 5[Explanation For the purposes of this sub regulation, the date of receipt of reply of the intermediary includes the date on which the intermediary makes oral submissions in a hearing before the Chairman or Member, if granted by him.] pass such order as it deems fit. (5) 6[***] (6) The Board or the member shall impose major penalties only in the following circumstances, namely:- (a) the intermediary or any of its whole-time directo .....

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Regulation 13 - Imposition of penalty - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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..... 004, w.e.f. 31.12.2004. * 2. Inserted by the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Second Amendment) Regulations, 2005, w.e.f. 7.6.2005. *[As corrected vide SO 1333(E), dated 21.08.2006. 3. Substituted for shall, ibid. 4. Substituted, ibid. Prior to its substitution, sub-regulation(4), read as under: (4) The Chairman or the member, as the case may be, after considering the reply to show-cause notice, if received, shall as soon as possible pass such order as .....

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Regulation 13 - Imposition of penalty - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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