https://www.taxtmi.com/acts?id=35620 Regulation 26 sets out specified grounds for monetary penalty against a stock broker, including failure to file returns or furnish documents on Board notice; inadequate books and records; failure to issue contract notes or to deliver securities/make payments within prescribed time; charging excess brokerage; failure to maintain client account forms or to segregate and refrain from using client funds or securities; failure to redress investor grievances; dealing in or communicating unpublished price sensitive information; engaging in fraudulent or unfair trade practices; and failures to comply with Board directions, exercise due skill, obtain prior approval for change in control, or satisfy net worth and capital adequacy norms. en-us Fri, 25 Jan 2019 11:06:01 +0530 Mon, 16 Sep 2024 18:20:00 +0530 TaxTMI RSS Generator https://www.taxtmi.com/acts?id=35620 Regulation 26 sets out specified grounds for monetary penalty against a stock broker, including failure to file returns or furnish documents on Board notice; inadequate books and records; failure to issue contract notes or to deliver securities/make payments within prescribed time; charging excess brokerage; failure to maintain client account forms or to segregate and refrain from using client funds or securities; failure to redress investor grievances; dealing in or communicating unpublished price sensitive information; engaging in fraudulent or unfair trade practices; and failures to comply with Board directions, exercise due skill, obtain prior approval for change in control, or satisfy net worth and capital adequacy norms. Act-Rules SEBI Fri, 25 Jan 2019 11:06:01 +0530 https://www.taxtmi.com/acts?id=35620