Application for settlement

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........... 1. Name/Trade name of the applicant/co-applicants: (a) Registration no., if applicable: (b) Date of Registration, if applicable: (c) PAN/DIN/CIN number, as available: 2. If stock broker, name of the stock exchange: 3. If authorised person, name of stock broker with whom affiliated and name of the stock exchange: 4. Form of organization: corporate body/ sole proprietorship / partnership / LLP, etc. (if listed co., details of listing): 5. Address/correspondence address, contact no. and email (any changes in aforesaid details shall be communicated to the Board promptly): 6. Name and contact details (including e-mail) of the contact person (s): 7. Specified Proceeding pending before the Bo....

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....l and Regulatory Term :- 18. Original documents to be enclosed: (a) Undertakings and waivers (as per Format specified in Part-B). (b) Authority letter/Board resolution. 19. List of other enclosures: (a) A copy of the Show Cause Notice/summons/communication/other notices indicating the probable cause of action, if any, against which the settlement is sought; (b) Copy of PAN card/ DIN/CIN details (in case of a non-resident applicant, include details relating to passport and national identity document, if any); (c) In case of a foreign body corporate applicant, include details relating to incorporation, place of business, registration details with any non-Indian financial sector regulatory aut....

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....proceeding, if any, against me/us, and waive any objections in this regard. (3) The Securities and Exchange Board of India may enforce any claims against me/us arising from or/in relation to any violation of the settlement order passed pursuant to this application. (4) Nothing in the settlement order shall preclude any other person from pursuing any other legal remedy to which such person may be entitled against me/us as per law. (5) The settlement proposed by me/us does not limit or create any private rights or remedies for any person who is not a party to these proceeding, against me/us. (6) The settlement amount including legal costs, if any, shall be paid by me/us to the Board within the period stipul....

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.... Securities and Exchange Board of India concerning any of the issue covered in the settlement order that may be passed. (12) I/We further waive the following: (a) the findings of fact and conclusions of law; (b) the proceeding before the Board or any officer of the Board; (c) the right to all post-hearing procedures; (d) appeal/review before the Tribunal/courts; (e) any plea relating to such provisions of the regulations or other requirements of law, including conflict of interest, as may be construed to prevent any member or officer of the Securities and Exchange Board of India from participating in the proceeding, including settlement proceeding or assisting or advising the Internal Co....