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        SEBI

        Section 15F - Penalty for default in case of stock brokers

        Securities and Exchange Board of India Act, 1992
        Chapter VIA
        PENALTIES AND ADJUDICATION

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        Penalty for stock brokers: statutory sanctions apply for failing contract notes, settlement obligations, or charging excess brokerage. Section 15F imposes monetary penalties on registered stock brokers for three breaches: failure to issue contract notes as required; failure to deliver securities or make payments to investors within the time and manner set by regulations, subject to a continuing daily penalty and statutory cap; and charging brokerage above regulatory limits, with penalties tied to the excess brokerage and subject to statutory minima and calculation rules.
                      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.

                          Penalty for stock brokers: statutory sanctions apply for failing contract notes, settlement obligations, or charging excess brokerage.

                          Section 15F imposes monetary penalties on registered stock brokers for three breaches: failure to issue contract notes as required; failure to deliver securities or make payments to investors within the time and manner set by regulations, subject to a continuing daily penalty and statutory cap; and charging brokerage above regulatory limits, with penalties tied to the excess brokerage and subject to statutory minima and calculation rules.


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