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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 III SUMMARY PROCEDURE This
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Regulation 15 - Situations when summary procedure to be followed - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

Extract

..... CHAPTER III SUMMARY PROCEDURE Situations when summary procedure to be followed 15. It shall not be necessary to hold an enquiry under Chapter II in relation to an intermediary where - (a) such intermediary has been declared insolvent or is wound up; (b) such intermediary fails to pay the registration, renewal or annual fees to the Board as per the provisions of the relevant Regulations; (c) such intermediary, being a Stock-broker, ceases to be a member of a recognised stock exchange or has been .....

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Regulation 15 - Situations when summary procedure to be followed - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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..... ) such intermediary admits to have violated the provisions of the relevant Regulations; (k) in any other situation where the facts leading to the violation of the provisions of the relevant Regulations are undisputed: Provided that no action shall be taken against an intermediary without giving an opportunity of making representation to such intermediary. ********** 1. Inserted by the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) (Second Amendment) Regulations, 200 .....

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Regulation 15 - Situations when summary procedure to be followed - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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