https://www.taxtmi.com/notifications?id=128553 Amendments set out a regulatory enforcement framework under which the Board may impose monetary penalties, initiate enquiry proceedings including suspension or cancellation of registration, or pursue prosecution. Monetary penalties apply to specified breaches such as failure to file returns, maintain books, issue contract notes, deliver securities or payments timely, misuse of unpublished price sensitive information, fraudulent trading practices, commingling of client funds, dealing through unregistered intermediaries, and non-compliance with Board directions; separate provisions identify grounds for enquiry-based sanctions and prosecution for serious or criminal violations. en-us Thu, 20 Nov 2003 00:00:00 +0530 Thu, 21 Feb 2019 14:19:00 +0530 TaxTMI RSS Generator https://www.taxtmi.com/notifications?id=128553 Amendments set out a regulatory enforcement framework under which the Board may impose monetary penalties, initiate enquiry proceedings including suspension or cancellation of registration, or pursue prosecution. Monetary penalties apply to specified breaches such as failure to file returns, maintain books, issue contract notes, deliver securities or payments timely, misuse of unpublished price sensitive information, fraudulent trading practices, commingling of client funds, dealing through unregistered intermediaries, and non-compliance with Board directions; separate provisions identify grounds for enquiry-based sanctions and prosecution for serious or criminal violations. Notifications SEBI Thu, 20 Nov 2003 00:00:00 +0530 https://www.taxtmi.com/notifications?id=128553