Will you please provide the list of contents of Securities And Exchange Board Of India (Intermediaries) Regulations, 2008 ?

[Vinodt]

Here I am providing the contents of Securities And Exchange Board Of India (Intermediaries) Regulations, 2008 which you are looking for .

Chapter I: Preliminary
1. Short title and commencement
2. Definitions

Chapter II: Registration Of Intermediaries
3. Application for grant of certificate
4. Disclosure of information
5. Furnishing of information and clarification
6. Verification of information
7. Consideration of application
8. Procedure for grant of certificate
9. Conditions of certificate
10. Effect of refusal to grant certificate or expiry of certificate
11. Period of validity of certificate

Chapter III: General Obligations Of Intermediaries

12. General obligations
13. Redressal of investor grievances
14. Appointment of compliance officer
15. Investment advice
16. Code of conduct

Chapter IV: Inspection and disciplinary Proceedings

17. Right of inspection by the Board
18. Notice before inspection
19. Obligations of Intermediary on inspection
20. Appointment of auditor or valuer
21. Submission of report to the Board

Chapter V: Action in case of default and manner of suspension or cancellation of certificate

22. Definitions
23. Cancellation or suspension of registration and other actions
24. Appointment of designated authority
2
25. Issuance of notice
26. Reply by the noticee
27. Action in case of default
28. Procedure for action on receipt of the recommendation.
29. Common order
30. Intimation of the order
31. Surrender of any certificate of registration
32. Effect of debarment, suspension, cancellation or surrender
33. Appeal to Securities Appellate Tribunal

Chapter VA:
33A. Situations when summary procedure to be followed
33B. Procedure to be followed under this chapter
33C. Publication of order

Chapter VI: Miscellaneous
34. Manner of service of notice and order and publication of order
35. Directions
36. Power of the Board to issue clarifications
37. Amendments to other regulations
38. Repeal and savings

For detailed information , here is the attachment