| Chapter: I |
| PRELIMINARY |
|
Regulation 1 |
: |
Short title and commencement
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|
Regulation 2 |
: |
Definitions
|
| Chapter: II |
| REGISTRATION OF CUSTODIANS |
|
Regulation 3 |
: |
Application for grant of certificate
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|
Regulation 4 |
: |
Application to conform to requirements
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|
Regulation 5 |
: |
Furnishing of information, clarification, and personal representation.
|
|
Regulation 6 |
: |
Consideration of application for grant of certificate
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|
Regulation 6A |
: |
Criteria for fit and proper person
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|
Regulation 7 |
: |
Capital requirement
|
|
Regulation 8 |
: |
Procedure and grant of certificate.
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|
Regulation 9 |
: |
Conditions of certificate.
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|
Regulation 9A |
: |
Period of validity
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|
Regulation 9B |
: |
Renewal of certificate [Omitted]
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|
Regulation 10 |
: |
Procedure where certificate is not granted
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|
Regulation 11 |
: |
Effect of refusal to grant certificate
|
| Chapter: III |
| GENERAL OBLIGATIONS AND RESPONSIBILITIES OF CUSTODIANS |
|
Regulation 12 |
: |
Code of conduct
|
|
Regulation 13 |
: |
Segregation of activities
|
|
Regulation 14 |
: |
Monitoring, review evaluating and inspecting systems and controls.
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|
Regulation 15 |
: |
Prohibition of assignment
|
|
Regulation 16 |
: |
Separate custody account
|
|
Regulation 17 |
: |
Agreement with the client
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|
Regulation 17A |
: |
Dispute Resolution
|
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Regulation 18 |
: |
Internal controls
|
|
Regulation 19 |
: |
Maintenance of records and documents and furnishing of information
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|
Regulation 19A |
: |
Appointment of compliance officer.
|
|
Regulation 20 |
: |
Information to the Board
|
|
Regulation 20A |
: |
Investor Charter
|
| Chapter: IV |
| INSPECTION AND AUDIT |
|
Regulation 21 |
: |
Board's right to inspect
|
|
Regulation 22 |
: |
Notice before inspection
|
|
Regulation 23 |
: |
Obligations of custodian on inspection by the Board
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|
Regulation 24 |
: |
Submission of report to the Board
|
|
Regulation 25 |
: |
Action on inspection or investigation report
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|
Regulation 25A |
: |
Appointment of auditor
|
|
Regulation 25B |
: |
Board to recover the expenses
|
| Chapter: V |
| PROCEDURE FOR ACTION IN CASE OF DEFAULT |
|
Regulation 26 |
: |
Liability for action in case of default
|
|
Regulation 27 |
: |
Omitted
|
|
Regulation 28 |
: |
Omitted
|
|
Regulation 29 |
: |
Omitted
|
|
Regulation 30 |
: |
Omitted
|
|
Regulation 31 |
: |
Omitted
|
|
Regulation 32 |
: |
Omitted
|
| Chapter: VI |
| POWER TO RELAX STRICT ENFORCEMENT OF THE REGULATIONS |
|
Regulation 33 |
: |
Exemption from enforcement of the regulations in special cases
|
| SCHEDULE |
|
Schedule - I |
: |
Application for grant of certificate of registration as Custodian
|
|
Schedule - II |
: |
Amount to be paid as Fees
|
|
Schedule - III |
: |
Code of Conduct
|
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