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        SEBI

        Regulation 28 - Liability for action in case of default.

        Securities and Exchange Board of India (Investment Advisers) Regulations 2013
        Chapter V
        PROCEDURE FOR ACTION IN CASE OF DEFAULT

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        Liability for action in case of default: Investment advisers subject to intermediary enforcement for specified contraventions and non-cooperation. Liability for defaults by an investment adviser arises where the adviser contravenes the Act or its regulations, fails to furnish required information or periodic returns, provides information to the Board that is false or misleading, does not cooperate in enquiries or inspections, or fails to resolve investor complaints or satisfactorily reply to the Board; such defaults are to be dealt with under the Securities and Exchange Board of India (Intermediaries) Regulations, 2008.
                        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.

                              Liability for action in case of default: Investment advisers subject to intermediary enforcement for specified contraventions and non-cooperation.

                              Liability for defaults by an investment adviser arises where the adviser contravenes the Act or its regulations, fails to furnish required information or periodic returns, provides information to the Board that is false or misleading, does not cooperate in enquiries or inspections, or fails to resolve investor complaints or satisfactorily reply to the Board; such defaults are to be dealt with under the Securities and Exchange Board of India (Intermediaries) Regulations, 2008.


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