Securities And Exchange Board Of India (Procedure For Holding Enquiry By Enquiry Officer And Imposing Penalty) (Second Amendment) Regulations, 2003. - F.No. SEBI/LAD/DOP/24418/2003 - SEBI
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Transfer of pending enquiries permits moving broker-related enquiries to adjudicating officers for adjudication under Chapter VIA. Amendment adds a regulation allowing the Chairman or a member to transfer any pending enquiry under the Stock Brokers and Sub Brokers Regulations that is triable under Chapter VIA to an adjudicating officer appointed under section 15I; the enquiry officer must forward records promptly and the adjudicating officer may then proceed with adjudication in the same manner as proceedings under Chapter VIA and the applicable adjudication procedure rules.
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.
Transfer of pending enquiries permits moving broker-related enquiries to adjudicating officers for adjudication under Chapter VIA.
Amendment adds a regulation allowing the Chairman or a member to transfer any pending enquiry under the Stock Brokers and Sub Brokers Regulations that is triable under Chapter VIA to an adjudicating officer appointed under section 15I; the enquiry officer must forward records promptly and the adjudicating officer may then proceed with adjudication in the same manner as proceedings under Chapter VIA and the applicable adjudication procedure rules.
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