Settlement factors guide determination of settlement terms balancing conduct, harm, compliance improvements and investor restitution. Regulation 10 lists non exhaustive factors to be considered in fixing settlement terms under the SEBI Settlement Proceedings Regulations, 2018, including ... Summary
Securities and Exchange Board of India (Settlement Proceedings) Regulations, 2018
Settlement factors guide determination of settlement terms balancing conduct, harm, compliance improvements and investor restitution.
Regulation 10 lists non exhaustive factors to be considered in fixing settlement terms under the SEBI Settlement Proceedings Regulations, 2018, including the applicant's conduct during proceedings, role in multi party defaults, nature and impact of defaults, existence of other proceedings, harm to investors and gains to the applicant, remedial processes and proposed compliance schedules, economic benefits from non compliance, deterrent conditions, satisfaction of investor claims, prior enforcement actions, and any other case specific factors.
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