Securities And Exchange Board of India (Procedure For Holding Enquiry By Enquiry Officer And Imposing Penalty) Regulations, 2002 Chapter II ENQUIRY PROCEEDINGS
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Appointment of enquiry officer: Chair may designate officers, including multi-member benches, subject to conflict and prior-involvement disqualifications. Appointment of an enquiry officer is made by the Chairman or a designated member when an intermediary appears to have contravened specified regulations; ... Summary
Appointment of enquiry officer: Chair may designate officers, including multi-member benches, subject to conflict and prior-involvement disqualifications.
Appointment of an enquiry officer is made by the Chairman or a designated member when an intermediary appears to have contravened specified regulations; more than one officer may be appointed to form a bench for technical or complicated factual or legal questions, to be presided by the senior member. An officer who has dealt with the matter, is directly or indirectly interested in the intermediary, or who has conducted the related investigation or inspection, is disqualified from appointment.
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