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        SEBI

        Regulation 27 - Action on the inspection report

        Securities and Exchange Board of India (Investment Advisers) Regulations 2013
        Chapter IV
        INSPECTION

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        Inspection-based directions allow regulator to bar investment advisers or associated persons from providing advice or accessing markets. The Board may, after considering the inspection report and giving a reasonable opportunity of hearing, issue directions including requiring the investment adviser or specified associated persons not to provide investment advice for a period; directing refunds of fees, charges or commissions to clients with requisite interest; and prohibiting the investment adviser or specified associated persons from operating in or accessing the capital market for a specified period.
                        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.

                              Inspection-based directions allow regulator to bar investment advisers or associated persons from providing advice or accessing markets.

                              The Board may, after considering the inspection report and giving a reasonable opportunity of hearing, issue directions including requiring the investment adviser or specified associated persons not to provide investment advice for a period; directing refunds of fees, charges or commissions to clients with requisite interest; and prohibiting the investment adviser or specified associated persons from operating in or accessing the capital market for a specified period.


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