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Regulation 31 - Surrender of any certificate of registration
Securities and Exchange Board of India (Intermediaries) Regulations, 2008 Chapter V ACTION IN CASE OF DEFAULT AND MANNER OF SUSPENSION OR CANCELLATION OF CERTIFICATE
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Surrender of certificate of registration can be granted subject to Board imposed safeguards and conditions to protect investors. A registrant may request surrender of its certificate to the Board, which is not bound by prior chapter procedures. The Board may require the applicant to satisfy it on matters such as maintenance and preservation of regulatory records, investor grievance redressal, transfer of client records, funds or securities, arrangements for continuity of client services, and any defaults or pending actions. The Board may accept surrender subject to conditions it deems necessary to protect investors or the securities market, and the person must comply with those conditions.
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.
Surrender of certificate of registration can be granted subject to Board imposed safeguards and conditions to protect investors.
A registrant may request surrender of its certificate to the Board, which is not bound by prior chapter procedures. The Board may require the applicant to satisfy it on matters such as maintenance and preservation of regulatory records, investor grievance redressal, transfer of client records, funds or securities, arrangements for continuity of client services, and any defaults or pending actions. The Board may accept surrender subject to conditions it deems necessary to protect investors or the securities market, and the person must comply with those conditions.
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