Liability for monetary penalty

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....r report with the Board. (ii) Failure to furnish any information, books or other documents within 15 days of issue of notice by the Board. (iii) Failure to maintain books of account or records as per the Act, rules or regulations framed thereunder. (iv) Failure to redress the grievances of investors within 30 days of receipts of notice from the Board. (v) Failur....

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.... (x) Counselling any person to deal in securities of any body corporate on the basis of unpublished price sensitive information. (xi) Indulging in fraudulent and unfair trade practices relating to securities. ^2[(xii) Failure to maintain client account opening form.] (xiii) Failure to segregate his own funds or securities from the client's funds or securities or us....

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....d for regulation 25 by the SEBI (Stock Brokers and Sub-brokers) (Amendment) Regulations, 2003, w.e.f. 20-11-2003. 2 Substituted by the SEBI (Stock Brokers and Sub-brokers) (Second Amdt.) Regulations, 2011, w.e.f. 17-08-2011. Prior to the substation, it read as under: "(xii) Execution of trade without entering into agreement with the client under the Act, rules or regulations framed the....