Securities And Exchange Board of India (Procedure For Holding Enquiry By Enquiry Officer And Imposing Penalty) Regulations, 2002 Chapter IV MISCELLANEOUS AND CONSEQUENTIAL PROVISIONS
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Enquiry procedure enforcement: Board may invoke penalty regulations to address regulated entities' defaults and noncompliance. The amendments centralise enforcement: after consideration of inspection or investigation reports the Board or Chairman may take action including invoking the Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty Regulations, 2002. Across multiple SEBI regulations the instrument substitutes uniform liability for default clauses for defined categories of regulated entities, listing default events (non compliance with registration conditions, contraventions, false information, non cooperation, misconduct, failure to pay fees, failure to resolve complaints) and directing that such defaults shall be dealt with under the 2002 Procedure Regulations.
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.
Enquiry procedure enforcement: Board may invoke penalty regulations to address regulated entities' defaults and noncompliance.
The amendments centralise enforcement: after consideration of inspection or investigation reports the Board or Chairman may take action including invoking the Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty Regulations, 2002. Across multiple SEBI regulations the instrument substitutes uniform liability for default clauses for defined categories of regulated entities, listing default events (non compliance with registration conditions, contraventions, false information, non cooperation, misconduct, failure to pay fees, failure to resolve complaints) and directing that such defaults shall be dealt with under the 2002 Procedure Regulations.
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