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        SEBI

        Regulation 28 - Liability for prosecution

        Securities and Exchange Board of India (Stock Brokers) Regulations, 1992
        Chapter VI
        PROCEDURE FOR ACTION IN CASE OF DEFAULT

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        Liability for prosecution exposes brokers to criminal prosecution for specified securities market violations. Liability for prosecution attaches to a stock broker for specified offences, including dealing without Board registration; dealing or facilitating trading outside recognized exchanges in breach of the securities contract regime; market manipulation; insider trading; fraudulent or unfair trade practices; and failure without reasonable cause to produce documents, appear or cooperate with investigation, or to comply with adjudicating officer penalties or directions.
                    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 prosecution exposes brokers to criminal prosecution for specified securities market violations.

                          Liability for prosecution attaches to a stock broker for specified offences, including dealing without Board registration; dealing or facilitating trading outside recognized exchanges in breach of the securities contract regime; market manipulation; insider trading; fraudulent or unfair trade practices; and failure without reasonable cause to produce documents, appear or cooperate with investigation, or to comply with adjudicating officer penalties or directions.


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