The Securities and Exchange Board of India Act, 1992 (Bare Act)/ (Record no. 157697)
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| 000 -LEADER | |
|---|---|
| fixed length control field | 00360nam a2200121Ia 4500 |
| 040 ## - CATALOGING SOURCE | |
| Transcribing agency | CUS |
| 082 ## - DEWEY DECIMAL CLASSIFICATION NUMBER | |
| Classification number | 343.54 |
| Item number | UNI/S |
| 245 #4 - TITLE STATEMENT | |
| Title | The Securities and Exchange Board of India Act, 1992 (Bare Act)/ |
| Statement of responsibility, etc. | Universal Law Publishing |
| 260 ## - PUBLICATION, DISTRIBUTION, ETC. (IMPRINT) | |
| Place of publication, distribution, etc. | New Delhi: |
| Name of publisher, distributor, etc. | Universal Law Publishing, |
| Date of publication, distribution, etc. | 2010. |
| 300 ## - PHYSICAL DESCRIPTION | |
| Extent | iii, 36 p. |
| 505 ## - FORMATTED CONTENTS NOTE | |
| Formatted contents note | THE SECURITIES AND EXCHANGE BOARD<br/>OF INDIA ACT, 1992<br/>Introduction . . . 1<br/>CHAPTER I<br/>PRELIMINARY<br/>Sections<br/>1. Short title, extent and commencement . . . 3<br/>2. Definitions . . . 3<br/>CHAPTER II '<br/>ESTABLISHMENT OF THE SECURITIES AND EXCHANGE<br/>BOARD OF INDIA<br/>3. Establisliment and incorporatipn of Board 4<br/>4. Management of the Board • 4<br/>- 5. Term of office and conditions of service of Chairman and<br/>members of the Board 5<br/>6. Removal of member from office 5<br/>7. Meetings 6<br/>7A. Member not to participate in meetings in certain'cases 6<br/>8. Vacancies etc., not to invalidate proceedings of Board 6<br/>9. Officers and employees of the Board , 6<br/>CHAPTER III<br/>TRANSFER OF ASSETS, LIABILITIES, ETC., OF THE EXISTING<br/>SECURITIES AND EXCHANGE BOARD TO THE BOARD<br/>10. Transfer of assets, liabilities, etc., of existing Securities and Exchange Board to the Board . . . 6<br/>CHAPTER IV<br/>POWERS AND FUNCTIONS OF THE BOARD<br/>11. Functions of Board . . . 7<br/>IIA. Board to regulate or prohibit issue of prospectus, offer document or advertisement soliciting money for issue of securities . ' . . 10<br/>llAA. Collective investment scheme 11<br/>IIB. Power to issue directions 12<br/>lie. Investigation 12 llD. Cease and desist proceedings * 15<br/>CHAPTER V<br/>REGISTRATION CERTIFICATE 12. Registration of stock-brokers, sub-brokers, share transfer agents, etc. 15<br/>\<br/>CHAPTER VA<br/>PROmBITION OF MANIPULATIVE AND DECEPTIVE DEVICES, INSIDER TRADING AND SUBSTANTIAL ACQUISITION<br/>OF SECURITIES OR CONTROL<br/>12A. Prohibition of manipulative and deceptive devices, insider trading and substantial acquisition of securities or control 17<br/>CHAPTER VI<br/>RNANCE, ACCOUNTS AND AUDIT<br/>13. Grants by the Central Government 17<br/>14. Fund 17<br/>15. Accounts and audit 18<br/>CHAPTER VIA<br/>PENALTIES AND ADJUDICATION 15A. Penalty for failure to furnish information, return, etc. 18<br/>15B. Penalty for failure by any person to enter into agreement<br/>with clients 19 15C. Penalty for failure to redress investors' grievances 19 15D. Penalty for certain defaults in case of mutual funds 20 15E. Penalty for failure to observe rules and regulations by an asset management company 21 15F. Penalty for default in case of stock broker 21 15G. Penalty for insider trading 22 15H. Penalty for non-disclosure of acquisition of shares and take-overs . 22 15HA. Penalty for fraudulent and unfair trade practices 23 15HB. Penalty for contravention where no separate penalty has been provided 23 15-1. Power to adjudicate 23 15J. Factors to be taken into account by the adjudicating officer 23 15JA. Crediting sums realised by way of penalties to Consolidated<br/>Fund of India<br/>24<br/>CHAPTER VIB<br/>ESTABLISHMENT, JURISDICTION, AUTHORITY AND PROCEDURE OF APPELLATE TRIBUNAL 15K. Establishment of Securities Appellate Tribunals 24 15L. Composition of Securities Appellate Tribunal 24 15M. Qualification for appointment as Presiding Officer or Member of Securities Appellate Tribunal 24 15N. Tenure of office of Presiding Officer and otlier Members of Securities Appellate Tribunal 25 15-0. Salary and allowances and other terms and conditions of service of Presiding Officer 25 15P. Filling up of vacancies • 25 15Q. Resignation and removal 25 I5R. Orders constituting Appellate Tribuiral to be final and not to invalidate its proceedings 26<br/>15S. Staff of tfie Securities Appellate Tribunal 26<br/>15T. Appeal to the Securities Appellate Tribunal 26<br/>15U. Procedure and Powers of the Securities Appellate Tribunal 27<br/>15V. Right to legal representation 28<br/>15W. Limitation 28<br/>15X. Presiding Officer, Members and staff of Securities Appellate Tribunals to be public servants 29<br/>15Y. Civil court not to have jurisdiction 29<br/>15Z. Appeal to Supreme Court 29<br/>CHAPTER VII<br/>MISCELLANEOUS<br/>16. Power to Central Government to issue directions - 29<br/>17. Power of Central Government to supersede the Board 30<br/>18. Returns and reports 30<br/>19. Delegation 31<br/>20. Appeal 31<br/>20A. Bar of jurisdiction — 31<br/>21. Savings 32<br/>22. Members, officers and employees of the Board to be public servants 32 23. Protection of action taken in good faith 31<br/>24. Offences ' ' 31<br/>24A. Composition of certain offences ' 32<br/>24B. Power to grant immunity 32<br/>25. Exemption from tax on wealth and income 33<br/>26. Cognizance of offences by courts 33<br/>27. Offences by Companies 33<br/>28. 1 Repealed] \ 34<br/>29. Power to make rules 34 30. Power to make regulations * 35 31. Rules and regulations to be laid before Parliament / 35 32. Application of other laws not barred 35<br/>33. Amendment of certain enactments 35<br/>34. Power to remove difficulties 35<br/>35. Repeal and saving 36<br/>THE SCHEDULE—Amendment of Certain Enactments |
| 650 ## - SUBJECT | |
| Keyword | Bare Act |
| 710 ## - ADDED ENTRY--CORPORATE NAME | |
| Corporate name or jurisdiction name as entry element | Universal Law Publishing |
| 942 ## - ADDED ENTRY ELEMENTS (KOHA) | |
| Koha item type | Bare Acts and Legal Education Series |
| Withdrawn status | Lost status | Damaged status | Not for loan | Home library | Current library | Shelving location | Date acquired | Full call number | Accession number | Date last seen | Date last checked out | Koha item type |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Central Library, Sikkim University | Central Library, Sikkim University | General Book Section | 29/08/2016 | 343.54 UNI/S | P12524 | 11/07/2018 | 11/07/2018 | Bare Acts and Legal Education Series |