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Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2021 - SEBI/LAD-NRO/GN/2021/07 - SEBI

Extract

..... ) Regulations, 2008, - (I) The regulation 25, shall be substituted by the following, namely: - “Holding of enquiry 25. (1) The designated authority shall issue a notice to a person against whom an enquiry has been initiated, to show cause as to why the action, as contemplated against such person should not be recommended. (2) The noticee shall be called upon to submit, within a period to be specified in the notice, not exceeding twenty-one days from the date of service thereof, a written reply to the notice, along with documentary evidence, if any, in support of such written reply: Provided that the designated authority may extend the time specified in the notice for sufficient grounds shown by the noticee and after recording reasons .....

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Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2021 - SEBI/LAD-NRO/GN/2021/07 - SEBI

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..... tion (1) or fails to appear on the scheduled date of hearing and the designated authority is satisfied that sufficient opportunity has been given to the noticee, the designated authority may conclude the proceedings after recording the reasons for doing so, on the basis of the material available on record.” (II) The regulation 26, shall be substituted by the following, namely:- “Recommendation of action 26. (1) After considering the material available on record and the reply, if any, the designated authority may by way of a report, recommend the following measures,- (i) disposing of the proceedings without any adverse action; (ii) cancellation of the certificate of registration; (iii) suspension of the certificate of registratio .....

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Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2021 - SEBI/LAD-NRO/GN/2021/07 - SEBI

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..... taken. (2) The noticee shall submit, within a period as specified in the notice, but not exceeding twenty-one days from the date of service thereof, a written submission, along with documentary evidence, if any, in support of the written submission: Provided that upon the request of the noticee, the designated member, after recording reasons, in writing may cause to extend the time specified for submitting reply to the notice. (3) After considering the submission of the noticee, the designated member may if deemed fit, for reasons to be recorded by it in writing, remit the matter to the designated authority to enquire afresh or to further enquire and resubmit the report. (4) The designated member may grant an opportunity of personal hearing .....

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Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2021 - SEBI/LAD-NRO/GN/2021/07 - SEBI

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..... July 14, 2009 by the Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2009, vide notification No. LAD-NRO/GN/2009-10/12/169546. c. January 7, 2014 by the Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2014, vide notification No. LAD-NRO/GN/2013-14/36/12. d. May 25, 2016 by the Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2016, vide notification No. SEBI/LAD-NRO/GN/2016-17/006. e. November 21, 2017, by the Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2017, vide notification no. SEBI/LAD-NRO/GN/2017-18/021. f. April 17, 2020, by the Securities and Exchange Board of India (Regulatory Sandbox) (Amendment) Re .....

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Securities and Exchange Board of India (Intermediaries) (Amendment) Regulations, 2021 - SEBI/LAD-NRO/GN/2021/07 - SEBI

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