Regulatory action on inspection reports permits the board or chair to take appropriate enforcement measures including intermediary enforcement. After consideration of an inspection or investigation report, the Board or the Chairman may exercise discretion to take such action as deemed fit, ... Summary
Securities and Exchange Board of India (Intermediaries) Regulations, 2008
Regulatory action on inspection reports permits the board or chair to take appropriate enforcement measures including intermediary enforcement.
After consideration of an inspection or investigation report, the Board or the Chairman may exercise discretion to take such action as deemed fit, including resort to intermediary-focused disciplinary and corrective measures under the applicable enforcement framework to address identified deficiencies.
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