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          Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.

          Provisions expressly mentioned in the judgment/order text.

          <h1>Failure to enter into client agreement exposes registered intermediaries to statutory daily penalties up to a capped maximum.</h1> Registered intermediaries required to execute client agreements incur a statutory penalty for failing to enter such agreements; the penalty includes a minimum amount and an accruing daily charge for each day the failure continues, subject to an overall maximum cap, and applies where the agreement obligation arises under the Act or its rules and regulations.

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