Liability for monetary penalty

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..... o furnish any information, books or other documents within 15 days of issue of notice by the Board. (iii) Failure to maintain books of account or records as per the Act, rules or regulations framed thereunder. (iv) Failure to redress the grievances of investors within 30 days of receipts of notice from the Board. (v) Failure to issue contract notes in the form and manner specified by the Sto .....

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..... d price sensitive information. (xi) Indulging in fraudulent and unfair trade practices relating to securities. 2[(xii) Failure to maintain client account opening form.] (xiii) Failure to segregate his own funds or securities from the client's funds or securities or using the securities or funds of the client for his own purpose or for purpose of any other client. 4[****] (xv) Failure to .....

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..... 1, w.e.f. 17-08-2011. Prior to the substation, it read as under: "(xii) Execution of trade without entering into agreement with the client under the Act, rules or regulations framed there under or failure to maintain client registration form or commission of any irregularities in maintaining the client agreement." 3 Substituted by the SEBI(Change in Conditions of Registration of Certain Interm .....

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