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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 16 - Procedure to be followed under this chapter - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

Extract

..... irman or the member may not appoint an officer of the Board under this sub-regulation and pass an appropriate order after considering the representation of the intermediary. 2[ ***] (2) The officer shall issue to the intermediary, against whom the proceedings are being held, a notice requiring the intermediary to make a written submission in reply to the notice within such time, 3[***] not exceeding fifteen days after the receipt of the notice, as may be specified in the notice 4[provided that t .....

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Regulation 16 - Procedure to be followed under this chapter - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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..... ns for taking such action. (5) The Chairman or the member, as the case may be, after receipt of recommendations from the officer under sub-regulation 5[(3) or] (4), shall pass such orders as he may deem appropriate. 6[(6) The Chairman or the member may pass a common order in respect of a number of intermediaries where the subject matter in question is substantially the same or similar in nature.] *********** 1 Substituted by SEBI (Procedure for Holding enquiry by Enquiry officer and imposing pen .....

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Regulation 16 - Procedure to be followed under this chapter - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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