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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 IV MISCELLANEOUS AND CONSEQUENTIAL PROVISIONS This
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SCHEDULE - THE SCHEDULE [See regulation 21] - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

Extract

..... or bye-laws of the stock exchange, shall be dealt with in the manner provided under the Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002." 4. Regulations 26 to 32 shall be omitted. PART III AMENDMENT TO THE SECURITIES AND EXCHANGE BOARD OF INDIA (PORTFOLIO MANAGERS) REGULATIONS, 1993 1. In regulation 2, clause (a) shall be omitted. 2. For regulation 28, the following regulation shall be substituted, namely: - Action on inspection or investigation report "28. The Board or the Chairman shall after consideration of inspection or investigation report take such action as the Board or Chairman may deem fit and appropriate including action under the Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002." 3. For regulation 30, the following regulation shall be substituted, namely :- “30. Liability for action in case of default - A portfolio manager who- (a) fails to comply with any conditions subject to which certificate has been granted; (b) contravenes any of the provisions of the Act, rules or regulations, shall .....

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SCHEDULE - THE SCHEDULE See regulation 21 - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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..... namely:- 25. Liability for action in case of default - An underwriter or a stock broker or a merchant banker entitled to carry on business of underwriting who - (a) fails to comply with any conditions subject to which certificate has been granted; (b) contravenes any of the provisions of the Act, rules or regulations, shall be dealt with in the manner provided under the Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002." 4. Regulations 26 to 32 shall be omitted. PART VI AMENDMENT TO THE SECURITIES AND EXCHANGE BOARD OF INDIA (DEBENTURE TRUSTEES) REGULATIONS, 1993 1. In regulation 2, clause (b) shall be omitted. 2. For regulation 23, the following regulation shall be substituted, namely:- 23. Action on inspection or investigation report The Board or the Chairman shall after consideration of inspection or investigation report take such action as the Board or Chairman may deem fit and appropriate including action under the Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002." 3. For regulation 25, the following regulatio .....

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SCHEDULE - THE SCHEDULE See regulation 21 - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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..... Regulations 22 to 29 shall be omitted. PART IX AMENDMENT TO THE SECURITIES AND EXCHANGE BOARD OF INDIA (CUSTODIAN OF SECURITIES) REGULATIONS, 1996 1. In regulation 2, clause (g) shall be omitted. 2. For regulation 25, the following regulation shall be substituted, namely:- 25. Action on inspection or investigation report - The Board or the Chairman shall after consideration of inspection or investigation report take such action as the Board or Chairman may deem fit and appropriate including action under the Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002." 3. For regulation 26, the following regulation shall be substituted, namely:- 26. Liability for action in case of default - A custodian of securities who - (a) contravenes any of the provisions of the Act, the rules framed thereunder or these regulations; (b) fails to furnish any information relating to his activity as custodian of securities as required by the Board; (c) furnishes to the Board information which is false and misleading in any material particular; (d) does not submit periodic returns or reports as required by the Board; (e) does .....

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SCHEDULE - THE SCHEDULE See regulation 21 - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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..... E CAPITAL FUNDS ) REGULATIONS, 1996 1. In regulation 2, clause (e) shall be omitted. 2. Sub regulations (1) and (2) of regulation 29 shall be omitted and sub- regulation (3) of that regulation shall be re-numbered as regulation 29. 3. For regulation 30, the following regulation shall be substituted, namely:- “30. Liability for action in case of default Without prejudice to the issue of directions or measure under regulation 29, a venture capital fund which- (a) contravenes any of the provisions of the Act or these regulations; (b) fails to furnish any information relating to its activity as a venture capital fund as required by the Board; (c) furnishes to the Board information which is false or misleading in any material particular; (d) does not submit periodic returns or reports as required by the Board; (e) does not co-operate in any enquiry, inspection or investigation conducted by the Board; (f) fails to resolve the complaints of investors or fails to give a satisfactory reply to the Board in this behalf, shall be dealt with in the manner provided in the Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulati .....

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SCHEDULE - THE SCHEDULE See regulation 21 - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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..... 4. Regulations 69 to 74 shall be omitted. PART XIII AMENDMENT TO THE SECURITIES AND EXCHANGE BOARD OF INDIA (CREDIT RATING AGENCIES) REGULATIONS, 1999 1. In regulation 2, clause (j) shall be omitted. 2. For regulation 33, the following regulation shall be substituted, namely :- 33. Action on inspection or investigation report - The Board or the Chairman shall after consideration of inspection or investigation report take such action as the Board or Chairman may deem fit and appropriate including action under the Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002." 3. For regulation 34, the following regulation shall be substituted, namely:- “34. Liability for action in case of default - A credit rating agency which- (a) fails to comply with any condition subject to which a certificate has been granted; (b) contravenes any of the provisions of the Act or these regulations or any other regulations made under the Act, shall be dealt with in the manner provided under the Securities and Exchange Board of India (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002. .....

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SCHEDULE - THE SCHEDULE See regulation 21 - SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING ENQUIRY BY ENQUIRY OFFICER AND IMPOSING PENALTY) REGULATIONS, 2002

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