Web8 Mar 2010 · UNDER REGULATIONS 33A AND 33B OF THE SEBI (INTERMEDIARIES) REGULATIONS, 2008 IN THE MATTER OF SUMMARY PROCEEDINGS AGAINST THE STOCK BROKERS WHO DEFAULTED IN PAYMENT OF REGISTRATION FEES . 1. Vide Order dated August 11, 2005 under Regulation 16(1) of the extant SEBI (Procedure for Holding Enquiry … Web13 May 2024 · Regulation 23 of the Intermediaries Regulations states as follows: “23. Where any person who has been granted a certificate of registration under the Act or regulations made thereunder, – (a) fails to comply with any conditions subject to which a certificate of registration has been granted to him;
SEBI prescribes norms for structured digital database, system driven …
Web9 Apr 2024 · Provided that such agreements may include such other clauses as the issuer and the intermediary may deem fit without diminishing or limiting in any way the liabilities and obligations of the merchant bankers, other intermediaries and the issuer under the Act, the Companies Act, 1956, the Securities Contracts (Regulation) Act, 1956, the … Web11 Apr 2024 · AIFs will also have to ensure that investors who approach them through a SEBI registered intermediary, which separately charges the investor a fee (such as an advisory fee or portfolio management ... fish and chips uber eats
What is Front Running? – A Q&A Piece in Light of the SEBI Order …
Web5. Understand the obligations of the Intermediary under the SEBI (Buyback of Securities) Regulations, 2024. SEBI (Issue of Capital Disclosure and Requirements) Regulations, 2009. Introduction of SEBI ICDR Regulations, 2009; Know the Allocation of Responsibilities; Know the role of merchant bankers as advisors to the issuer company. Web8 Nov 2024 · SEBI (LODR) Regulations, 2015 (updated upto and including amendment dated July 25, 2024) 25-Jul-2024 ... Transfer of business by SEBI registered intermediaries to other legal entity: 26-Mar-2024: Prior Approval for Change in control: Transfer of shareholdings among immediate relatives and transmission of shareholdings and their effect on change ... Web6 Apr 2024 · In a circular, Sebi said KRAs will independently validate records of those clients (existing as well as new) whose KYC has been completed using Aadhaar as an Officially Valid Document (OVD). The records of those clients who have completed KYC using non-Aadhaar OVD will be validated only upon receiving the Aadhaar number. fish and chips tynemouth