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SEBI

Home Acts & Rules SEBI Old-Provisions Securities And Exchange Board of India (Procedure For Holding Enquiry By Enquiry Officer And Imposing Penalty) Regulations, 2002 Chapters List This

Securities And Exchange Board of India (Procedure For Holding Enquiry By Enquiry Officer And Imposing Penalty) Regulations, 2002
Chapter: I
PRELIMINARY
Regulation 1 : Short title and commencement
Regulation 2 : Definitions
Chapter: II
ENQUIRY PROCEEDINGS
Regulation 3 : Procedure for holding enquiry
Regulation 4 : Enquiry for contraventions of the regulations
Regulation 5 : Appointment of enquiry officer
Regulation 5A : Transfer of Pending enquiry
Regulation 6 : Issuance of notice
Regulation 7 : Manner of service of notice
Regulation 8 : Reply by intermediary
Regulation 9 : Notice of hearing
Regulation 10 : Ex parte proceedings
Regulation 11 : Representation before enquiry officer
Regulation 12 : Presenting officer
Regulation 13 : Imposition of penalty
Regulation 14 : Intimation of the order
Chapter: III
SUMMARY PROCEDURE
Regulation 15 : Situations when summary procedure to be followed
Regulation 16 : Procedure to be followed under this chapter
Regulation 17 : Publication of order
Chapter: IV
MISCELLANEOUS AND CONSEQUENTIAL PROVISIONS
Regulation 18 : Removal of doubts
Regulation 19 : Effect of debarment, suspension and cancellation order
Regulation 20 : Appeal to Securities Appellate Tribunal
Regulation 21 : Amendment of relevant Regulations
Regulation 22 : Service of notice
Regulation 23 : Saving of actions
SCHEDULE : THE SCHEDULE [See regulation 21]
 
 
 

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