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        SEBI

        Regulation 10 - Ex parte proceedings

        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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        Ex parte proceedings allow an enquiry officer to proceed and decide on merits when intermediary defaults to appear or respond. Ex parte proceedings permit an enquiry officer to continue and conclude an inquiry when an intermediary fails or refuses to appear or to reply to a notice. The officer must record reasons for proceeding without the intermediary and may adjudicate on the merits based solely on the material facts before him and pass an appropriate order.
                        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.

                              Ex parte proceedings allow an enquiry officer to proceed and decide on merits when intermediary defaults to appear or respond.

                              Ex parte proceedings permit an enquiry officer to continue and conclude an inquiry when an intermediary fails or refuses to appear or to reply to a notice. The officer must record reasons for proceeding without the intermediary and may adjudicate on the merits based solely on the material facts before him and pass an appropriate order.


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