MISCELLANEOUS AND CONSEQUENTIAL PROVISIONS - Securities And Exchange Board of India (Procedure For Holding Enquiry By Enquiry Officer And Imposing Penalty) Regulations, 2002
MISCELLANEOUS AND CONSEQUENTIAL PROVISIONS - Securities And Exchange Board of India (Procedure For Holding Enquiry By Enquiry Officer And Imposing Penalty) Regulations, 2002
Enquiry officer definition clarifies procedural roles in SEBI enquiry process and duties for intermediaries during investigations. Regulation 2 defines terms for SEBI's enquiry and penalty procedure, specifying enquiry officer as a Board officer of prescribed rank appointed to conduct ... Summary
Enquiry officer definition clarifies procedural roles in SEBI enquiry process and duties for intermediaries during investigations.
Regulation 2 defines terms for SEBI's enquiry and penalty procedure, specifying enquiry officer as a Board officer of prescribed rank appointed to conduct enquiries; it defines intermediary to include persons under section twelve and certain fund management companies, and specifies "presenting officer", "certificate", "relevant Regulations" and "self-regulating organisation". The regulation adopts meanings from the Act where terms are undefined and notes an amendment altering the enquiry officer definition.
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