Client Security Fund - Bare Acts

Government of India Act, 1858 [Repealed] Section 73

Title: Saving of the Rights of the Company in Respect of their Dividend and Security Fund

State: Central

Year: 1858

Nothing herein contained shall affect the Preference secured by the said Act of the Third and Fourth Years of King William the Fourth to the Dividend on the Capital Stock of the said Company or the Right of the said Company to demand the Redemption of the said Dividend secured by such Acts; and all the Provisions of the said Act concerning the Security Fund thereby created shall remain in force, save that when the Approbation of the Commissioners for the Affairs of India is required in relation to the Disposal of the said Security Fund, the Approbation of the Secretary of State in Council shall be required.

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Securities Contracts Regulation Act, 1956 (42 of 1956) Amending Act 5

Title: Securities Laws (Amendment) Act,2004

State: Central

Year: 1956

..... (2) While holding an inquiry, the adjudicating officer shall have power to summon and enforce the attendance of any person acquainted with the facts and circumstances of the case to give evidence or to produce any document, which in the opinion of the adjudicating officer, may be useful for or relevant to the subject-matter of the inquiry and if, on such inquiry, he is satisfied that the person has failed to comply with the provisions of any of the Sections specified in sub-Section (1), he may impose such penalty as he thinks fit in accordance with the provisions of any of those Sections. 23J. Factors to be taken into account by the adjudicating officer.-- While adjudging the quantum of penalty under Section 23-I, the adjudicating officer shall have due regard to the following factors, namely:- (a) the amount of disproportionate gain or unfair advantage, wherever quantifiable, made as a result of the default; (b) the amount of loss caused to an investor or group of investors as a result of the default ; (c) the repetitive nature of the default. 23K. Crediting sum realised by way of penalties to Consolidated Fund of India.-- All sums realised by way of penalties.....

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Securities Laws (Amendment) Act, 2004 Chapter II

Title: Amendments to the Securities Contracts (Regulation) Act, 1956

State: Central

Year: 2004

..... (2) While holding an inquiry, the adjudicating officer shall have power to summon and enforce the attendance of any person acquainted with the facts and circumstances of the case to give evidence or to produce any document, which in the opinion of the adjudicating officer, may be useful for or relevant to the subject-matter of the inquiry and if, on such inquiry, he is satisfied that the person has failed to comply with the provisions of any of the Sections specified in sub-Section (1), he may impose such penalty as he thinks fit in accordance with the provisions of any of those Sections. 23J. Factors to be taken into account by the adjudicating officer.-- While adjudging the quantum of penalty under Section 23-I, the adjudicating officer shall have due regard to the following factors, namely:- (a) the amount of disproportionate gain or unfair advantage, wherever quantifiable, made as a result of the default; (b) the amount of loss caused to an investor or group of investors as a result of the default ; (c) the repetitive nature of the default. 23K. Crediting sum realised by way of penalties to Consolidated Fund of India.-- All sums realised by way of penalties.....

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Securities Contracts Regulation Act, 1956 (42 of 1956) Complete Act

Title: Securities Contracts Regulation Act, 1956 (42 of 1956)

State: Central

Year: 1956

.....returns, etc. Section23H - Penalty for contravention where no separate penalty has been provided Section23I - Power to adjudicate Section23J - Factors to be taken into account by the adjudicating officer Section23K - Crediting sum realised by way of penalties to Consolidated Fund of India Section23L - Appeal to Securities Appellate Tribunal Section23M - Offences Section23N - Composition of certain offences Section23O - Power to grant immunity Section24 - Offences by companies Section25 - Certain offences to be cognizable Section26 - Cognizance of offences by courts Section27 - Title to dividends Section27A - Right to receive income from collective investment scheme Section27B - Right to receive income from mutual fund Section28 - Act not to apply in certain cases Section29 - Protection of action taken in good faith Section29A - Power to delegate Section30 - Power to make rules Section31 - Power of Securities and Exchange Board of India to make regulations Amending Act1 - SECURITIES CONTRACTS (REGULATION) AMENDMENT ACT, 1959 Amending Act2 - SECURITIES CONTRACTS (REGULATION) AMENDMENT ACT, 1985 Amending Act3 - SECURITIES LAWS (AMENDMENT) ACT, 1999 Amending.....

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Securities Contracts Regulation Act, 1956 (42 of 1956) Section 23D

Title: Penalty for Failure to Segregate Securities or Moneys of Client or Clients

State: Central

Year: 1956

1[Section 23D - Penalty for failure to segregate securities or moneys of client or clients If any person, who is registered under Section 12 of the Securities and Exchange Board of India Act, 1992 (15 of 1992) as a stock broker or sub-broker, fails to segregate securities or moneys of the client or clients or uses the securities or moneys of a client or clients for self or for any other client, he shall be liable to a penalty not exceeding one crore rupees.] _____________________ 1. Inserted vide The Securities Laws (Amendment) Act, 2004

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Securities and Exchange Board of India Act, 1992 Complete Act

Title: Securities and Exchange Board of India Act, 1992

State: Central

Year: 1992

.....trade practices Section15HB - Penalty for contravention where no separate penalty has been provided Section15I - Power to adjudicate Section15J - Factors to be taken into account by the adjudicating officer Section15JA - Crediting sums realised by way of penalties to Consolidated Fund of India ChapterVIB - ESTABLISHMENT, JURISDICTION, AUTHORITY AND PROCEDURE OF APPELLATE TRIBUNAL Section15K - Establishment of Securities Appellate Tribunals Section15L - Composition of Securities Appellate Tribunal Section15M - Qualification for appointment as Presiding Officer or Member of Securities Appellate Tribunal Section15N - Tenure of office of Presiding Officer and other Members of Securities Appellate Tribunal Section15O - Salary and allowances and other terms and conditions of service of Presiding Officer Section15P - Filling up of vacancies Section15Q - Resignation and removal Section15R - Orders constituting Appellate Tribunal to be final and not to invalidate its proceedings Section15S - Staff of the Securities Appellate Tribunal Section15T - Appeal to the Securities Appellate Tribunal Section15U - Procedure and Powers of the Securities Appellate Tribunal Section15V -.....

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Securities Contracts Regulation Act, 1956 (42 of 1956) Section 23B

Title: Penalty for Failure by Any Person to Enter into an Agreement with Clients

State: Central

Year: 1956

1[Section 23B - Penalty for failure by any person to enter into an agreement with clients If any person, who is required under this Act or any bye-laws of a recognised stock exchange made thereunder, to enter into an agreement with his client, fails to enter into such an agreement, he shall be liable to a penalty of one lakh rupees for each day during which such failure continues or one crore rupees, whichever is less for every such failure.] ___________________ 1. Inserted vide The Securities Laws (Amendment) Act, 2004

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Banking Companies (Legal Practitioners Clients Account) Act, 1949 [Repealed] Repealing Act 1

Title: Banking Companies Legal Practioners Clients Accounts Repeal Act, 2001

State: Central

Year: 1949

THE BANKING COMPANIES (LEGAL PRACTITIONERS' CLIENTS' ACCOUNTS) REPEAL ACT, 2001 [Act, No. 20 of 2001] [26th August, 2001] PREAMBLE An Act to repeal the Banking Companies (Legal Practitioners' Clients' Accounts) Act, 1949. Be it enacted by Parliament in the Fifty-second Year of the Republic of India as follows: - 1. Short title This Act may be called the Banking Companies (Legal Practitioners' Clients' Accounts) Repeal Act, 2001. 2. Repeal of Act The Banking Companies (Legal Practitioners' Clients' Accounts) Act, 1949 (46 of 1949) is hereby repealed

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Securities and Exchange Board of India Act, 1992 Section 15B

Title: Penalty for Failure by Any Person to Enter into Agreement with Clients

State: Central

Year: 1992

If any person, who is registered as an intermediary and is required tinder this Act or any rules or regulations made thereunder to enter into an agreement with his client, fails to enter into such agreement, he shall be liable to 1 [a penalty of one lakh rupees for each day during which such failure continues or one crore rupees, whichever is less]. ______________________ 1. Substituted by Act 59 of 2002, section 10, for "a penalty not exceeding five lakh rupees for every such failure" (w.r.e.f. 29-10-2002).

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BANKING COMPANIES (LEGAL PRACTITIONERS' CLIENTS' ACCOUNTS) REPEAL ACT, 2001 Preamble 1

Title: THE BANKING COMPANIES (LEGAL PRACTITIONERS' CLIENTS' ACCOUNTS) REPEAL ACT, 2001

State: Central

Year: 2001

THE BANKING COMPANIES (LEGAL PRACTITIONERS' CLIENTS' ACCOUNTS) REPEAL ACT, 2001 [Act, No. 20 of 2001] [26th August, 2001] PREAMBLE An Act to repeal the Banking Companies (Legal Practitioners' Clients' Accounts) Act, 1949. be it enacted by Parliament in the Fifty-second Year of the Republic of India as follows: -

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