Criteria for determining a ‘fit and proper person

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Criteria for determining a ‘fit and proper person

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.... or more of the relevant regulations is a 'fit and proper person', the Board may take account of any consideration as it deems fit, including but not limited to the following criteria - (a) financial integrity; (b) absence of convictions or civil liabilities; (c) competence; (d) good reputation and character; (e) efficiency and honesty; and (f) absence of any disqualification to act as an in....

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.... order, other than an order of suspension of certificate of registration as an intermediary, restraining, prohibiting or debarring the applicant or the intermediary, or its whole time director or managing partner from dealing in securities in the capital market or from accessing the capital market has been passed by the Board or any other regulatory authority and a period of three years from the d....

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....r the intermediary, to seek registration before the lapse of three years as specified in clauses (d), (e) and (f). (g) the applicant or the intermediary, is financially not sound; (h) any other reason, to be recorded in writing by the Board, which in the opinion of the Board, renders such applicant or the intermediary, or its whole time director or managing partner unfit to operate in the capita....

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Criteria for determining a ‘fit and proper person