Securities and Exchange Board of India (Underwriters) Regulations, 1993


Section
Section Title
  INTRODUCTION
  title CHAPTER I : PRELIMINARY View Judgements
  1 Short title and commencement View Judgements
  2 Definitions View Judgements
  title CHAPTER II : REGISTRATION OF UNDERWRITERS View Judgements
  3 Application for grant of certificate View Judgements
  4 Furnishing of further information, clarification, etc View Judgements
  5 Application to conform to the requirements View Judgements
  6 Consideration of application View Judgements
  7 Capital Adequacy Requirement View Judgements
  8 Procedure for registration View Judgements
  9 Renewal of certificate View Judgements
  10 Procedure where registration is not granted View Judgements
  11 Effect of refusal to grant or renew certificate View Judgements
  12 Payment of fees and the consequences of failure to pay fees View Judgements
  title CHAPTER III : GENERAL OBLIGATIONS AND RESPONSIBILITIES View Judgements
  13 To abide by the Code of Conduct View Judgements
  14 Agreement with clients View Judgements
  15 General responsibilities of an underwriter View Judgements
  16 To maintain proper books of accounts and records, etc View Judgements
  17 Period of maintenance of books of accounts, records and other documents View Judgements
  18 Power to call for information View Judgements
  title CHAPTER IV : INSPECTION AND DISCIPLINARY PROCEEDINGS View Judgements
  19 Board's right to inspect View Judgements
  20 Procedure for inspection View Judgements
  21 Obligations of underwriter on inspection by the Board View Judgements
  22 Submission of report to the Board View Judgements
  23 Communication of findings, etc. to the underwriter View Judgements
  24 Appointment of Auditor View Judgements
  title CHAPTER V : PROCEDURE FOR ACTION IN CASE OF DEFAULT View Judgements
  25 Liability for action in case of default View Judgements
  26 Suspension, cancellation of certificate View Judgements
  27 Manner of making order of suspension and cancellation of certificate View Judgements
  28 Manner of holding enquiry before suspension or cancellation View Judgements
  29 Show-cause notice and order View Judgements
  30 Effect of suspension and cancellation of certificate granted to underwriter View Judgements
  31 Publication of order of suspension View Judgements
  32 Appeal to the Securities Appellate Tribunal View Judgements



#LawyerServices #Act #Law #Statute #IndianLaw #Kanoon