Securities And Exchange Board of India (Procedure For Holding Enquiry By Enquiry Officer And Imposing Penalty) Regulations, 2002 Chapter II ENQUIRY PROCEEDINGS
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Show cause notice requirement: intermediary must receive specified notice, submit a written statement and indicate desire for a personal hearing. Regulation 6 requires an Enquiry Officer who finds reasonable grounds to issue a show cause notice specifying alleged contraventions, to call for a written statement within a specified period and to ask whether the intermediary seeks a personal hearing; the officer may extend the submission period for recorded sufficient reasons, and the notice must be accompanied by copies of documents and extracts of investigation or inspection findings relied upon by the Board.
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.
Show cause notice requirement: intermediary must receive specified notice, submit a written statement and indicate desire for a personal hearing.
Regulation 6 requires an Enquiry Officer who finds reasonable grounds to issue a show cause notice specifying alleged contraventions, to call for a written statement within a specified period and to ask whether the intermediary seeks a personal hearing; the officer may extend the submission period for recorded sufficient reasons, and the notice must be accompanied by copies of documents and extracts of investigation or inspection findings relied upon by the Board.
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