Regulation 4 - Amounts to be credited to the Fund - Securities and Exchange Board of India (Investor Protection and Education Fund) Regulations, 2009

Amounts to be credited to the Fund. 4. 1 [(1)] The following amounts shall be credited to the Fund:- (a) contribution as may be made by the Board to the Fund; (b) grants and donations given to the Fund by the Central Government, State Government or any other entity approved by the Board for this purpose; 2 [ (c) proceeds in accordance with the sub-clause (ii) of clause(e) of sub-regulation (10) of regulation 17 and sub-regulation (3) of regulation 21 of the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 ] ; (d) security deposits, if any, held by stock exchanges in respect of public issues and rights issues, in the event of de-recognition of such stock exchanges; (e) amounts in the Investor Protection Fund and Investor Services Fund of a stock exchange, in the event of de-recognition of such stock exchange; 4 [(f) amounts forfeited for non-fulfilment of obligations specified in regulation 15B of the Securities and Exchange Board of India (Buy-back of Securities) Regulations, 1998; (g) monies transferred in accordance with sub-regulation (9) of regulation 45 of the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009; (h) amounts disgorged under section 11B of the Act or section 12A of the Securities Contracts (Regulation) Act, 1956 or section 19 of the Depositories Act, 1996;] 3 [(i)] interest or other income received out of any investments made from the Fund; 8 [ (j) monies transferred in accordance with the proviso to sub-regulation (3) of regulation 61A of the Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015; (k) monies transferred in accordance with clause (f) of sub-regulation (16) of regulation 18 of the Securities and Exchange Board of India (Real Estate Investment Trusts) Regulations, 2014; (l) monies transferred in accordance with clause (e) of sub-regulation (6) of regulation 18 of the Securities and Exchange Board of India (Infrastructure Investment Trusts) Regulations, 2014; ] 7 [ (m) ] such other amount as the Board may specify in the interest of investors. 5 [ 6 [ (2) For the purposes of sub-regulation (1) above, the amounts shall be credited to the Fund through NEFT/RTGS/IMPS or online payment using the SEBI Payment Gateway or any other mode as may be specified by the Board from time to time. ]] ************* NOTES:- 1 Existing regulation re‐numbered as sub‐regulation (1) by the SEBI (Payment of Fees and Mode of Payment) (Amendment) Regulations, w.e.f. 6‐3‐2017. 2 Substituted vide Notification No. LAD-NRO/GN/2013-14/38/49 dated 09-01-2014 before it was read as, (c) proceeds in accordance with the sub‐clause (ii) of clause(e) of sub‐regulation (12) and the sub‐ regulation (13)of regulation 28 of the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 1997 . 3. Re-Numbered vide Notification No. LAD-NRO/GN/2013-14/38/49 dated 09-01-2014 before it was read as, (f) (g) 4. Inserted vide Notification No. LAD-NRO/GN/2013-14/38/49 dated 09-01-2014 5 Inserted by the SEBI (Payment of Fees and Mode of Payment) (Amendment) Regulations, 2017, w.e.f. 6‐3‐2017. 6. Substituted vide Notification No. SEBI/LAD-NRO/GN/2023/121 dated 07-02-2023 , w.e.f. 01-04-2023 before it was read as, (2) For the purposes of sub-regulation (1) above, the amounts shall be credited to the Fund through NEFT/RTGS/IMPS or any other mode allowed by RBI or by way of a demand draft in favour of the Board payable in Mumbai . 7. Re-Numbered vide Notification No. SEBI/LAD-NRO/GN/2023/157 dated 20-10-2023 before it was read as, 3 [(j)] 8. Inserted vide Notification No. SEBI/LAD-NRO/GN/2023/157 dated 20-10-2023