Enquiry officer definition clarifies procedural roles in SEBI enquiry process and duties for intermediaries during investigations. Regulation 2 defines terms for SEBI's enquiry and penalty procedure, specifying enquiry officer as a Board officer of prescribed rank appointed to conduct ... Summary
Enquiry officer definition clarifies procedural roles in SEBI enquiry process and duties for intermediaries during investigations.
Regulation 2 defines terms for SEBI's enquiry and penalty procedure, specifying enquiry officer as a Board officer of prescribed rank appointed to conduct enquiries; it defines intermediary to include persons under section twelve and certain fund management companies, and specifies "presenting officer", "certificate", "relevant Regulations" and "self-regulating organisation". The regulation adopts meanings from the Act where terms are undefined and notes an amendment altering the enquiry officer definition.
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