{"id":211897,"date":"2019-03-12T18:30:56","date_gmt":"2019-03-12T13:00:56","guid":{"rendered":"https:\/\/www.scconline.com\/blog\/?p=211897"},"modified":"2019-03-12T15:56:12","modified_gmt":"2019-03-12T10:26:12","slug":"mof-securities-and-exchange-board-of-india-procedure-for-holding-inquiry-and-imposing-penalties-by-adjudicating-officer-amendment-rules-2019","status":"publish","type":"post","link":"https:\/\/www.scconline.com\/blog\/post\/2019\/03\/12\/mof-securities-and-exchange-board-of-india-procedure-for-holding-inquiry-and-imposing-penalties-by-adjudicating-officer-amendment-rules-2019\/","title":{"rendered":"MoF | Securities and Exchange Board of India (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Amendment Rules, 2019"},"content":{"rendered":"<p style=\"text-align: justify;\"><strong>G.S.R. 210(E)\u2014<\/strong> In exercise of the powers conferred by clause (da) and clause (f) of sub-section (2) of Section 29 of the Securities and Exchange Board of India Act, 1992, (15 of 1992), the Central Government hereby makes the following rules further to amend the Securities and Exchange Board of India (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 1995, namely:-<\/p>\n<p style=\"text-align: justify;\"><strong>1. Short title and commencement\u2014<\/strong> (1) These rules may be called the <strong>Securities and Exchange Board of India (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Amendment Rules, 2019.<\/strong><\/p>\n<p style=\"text-align: justify;\">\u00a0 \u00a0 \u00a0 \u00a0 \u00a0 \u00a0 \u00a0 \u00a0 \u00a0 \u00a0(2) They shall come into force on the date of their publication in the Official Gazette.<\/p>\n<p style=\"text-align: justify;\"><strong>2<\/strong>. In the Securities and Exchange Board of India (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 1995 (hereinafter referred to as \u201cthe said rules\u201d), in the opening para, for the words, brackets, figures and letter \u201cclause (da) of sub-section (2) of Section 29\u201d, the words, brackets, figures and letter \u201cclause (da) and clause (f) of sub-section (2) of Section 29\u201d shall be substituted.<\/p>\n<p style=\"text-align: justify;\"><strong>3.<\/strong> In the said Rules, in Rule 1, in sub-rule (1), the words \u201cby Adjudicating Officer\u201d shall be omitted.<\/p>\n<p style=\"text-align: justify;\"><strong>4.<\/strong> In the said rules, in Rule 2, in clause (c), for the word, figures and letter \u201cSection 15-I\u201d, the words, brackets, figures and letters \u201csub-section (4A) of Section 11 or sub-section (2) of Section 11B or Section 15-I of the Act\u201d shall be substituted.<\/p>\n<p style=\"text-align: justify;\"><strong>5.<\/strong> In the said Rules, in Rule 4, &#8211;<\/p>\n<p style=\"text-align: justify;\">(i) in sub-rule (1), after figures and letter \u201c15E,\u201d at both the places where it occurs, the figures and letters \u201c15EA, 15EB,\u201d shall be inserted;<\/p>\n<p style=\"text-align: justify;\">(ii) for the words \u201cadjudicating officer\u201d, wherever they occur, the words \u201cthe Board or the adjudicating officer\u201d shall be substituted.<\/p>\n<p style=\"text-align: justify;\"><strong>6.<\/strong> In the said Rules, in Rule 5, &#8211;<\/p>\n<p style=\"text-align: justify;\">(i) for the words \u201cadjudicating officer\u201d, wherever they occur, the words \u201cthe Board or the adjudicating officer\u201d shall be substituted;<\/p>\n<p style=\"text-align: justify;\">(ii) for the word and figures \u201cSection 15-I\u201d, wherever they occur, the words, brackets, figures and letters, \u201csub-section (4A) of Section 11 or sub-section (2) of Section 11B or Section 15-I of the Act\u201d shall be substituted.<\/p>\n<p style=\"text-align: justify;\">(iii) after sub-rule (4), the following sub-rule shall be inserted, namely:-<\/p>\n<p style=\"text-align: justify;\">\u201c(5) The Board or the adjudicating officer who has passed an order, may rectify any error apparent on the face of record on such order, either on its own motion or where such error is brought to his notice by the affected person within a period of fifteen days from the date of such order.\u201d<\/p>\n<p style=\"text-align: justify;\"><strong>\u201c<\/strong><em><strong>Explanation:<\/strong><\/em> For the purpose of this rule, &#8220;error apparent on the face of record&#8221; shall mean any typographical errors that creep in inadvertently into the order and includes such other errors that do not require a long drawn out reasoning process to ascertain such a mistake.\u201d<\/p>\n<p style=\"text-align: justify;\"><strong>7.<\/strong> In the said rules, in Rule 6, for the words \u201cadjudicating officer\u201d, the words \u201cthe Board or the adjudicating officer\u201d shall be substituted.<\/p>\n<p>[F. No. 5\/05\/FM\/2017]<\/p>\n<p style=\"text-align: right;\"><strong>Ministry of Finance<\/strong><\/p>\n","protected":false},"excerpt":{"rendered":"<p>G.S.R. 210(E)\u2014 In exercise of the powers conferred by clause (da) and clause (f) of sub-section (2) of Section 29 of the <\/p>\n","protected":false},"author":8808,"featured_media":0,"comment_status":"open","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_jetpack_memberships_contains_paid_content":false,"footnotes":""},"categories":[4,15],"tags":[2736,30308,34300],"class_list":["post-211897","post","type-post","status-publish","format-standard","hentry","category-legislationupdates","category-rules_regulations","tag-Amendment","tag-rules","tag-securities-and-exchange-board-of-india-procedure-for-holding-inquiry-and-imposing-penalties-by-adjudicating-officer-amendment-rules-2019"],"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v26.4 (Yoast SEO v26.4) - 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The appellant challenged an ex-parte order passed against him alleging that he was not served properly and therefore the impugned order\u2026","rel":"","context":"In &quot;Case Briefs&quot;","block_context":{"text":"Case Briefs","link":"https:\/\/www.scconline.com\/blog\/post\/category\/casebriefs\/"},"img":{"alt_text":"","src":"https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2019\/02\/SAT-MUMBAI.jpg?resize=350%2C200&ssl=1","width":350,"height":200,"srcset":"https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2019\/02\/SAT-MUMBAI.jpg?resize=350%2C200&ssl=1 1x, https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2019\/02\/SAT-MUMBAI.jpg?resize=525%2C300&ssl=1 1.5x, https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2019\/02\/SAT-MUMBAI.jpg?resize=700%2C400&ssl=1 2x, https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2019\/02\/SAT-MUMBAI.jpg?resize=1050%2C600&ssl=1 3x"},"classes":[]},{"id":371239,"url":"https:\/\/www.scconline.com\/blog\/post\/2025\/12\/30\/del-hc-appointment-of-sebi-adjudicating-office-admin-not-quasi-judicial-order\/","url_meta":{"origin":211897,"position":2},"title":"Delhi High Court: Appointment of SEBI Adjudicating Officer is administrative; Does not require a prior, reasoned recorded opinion","author":"Prarthana Gupta","date":"December 30, 2025","format":false,"excerpt":"\u201cFormation of opinion under Rule 3 of Securities and Exchange Board of India Adjudication Rules need not be expressly recorded at pre-notice stage.\u201d","rel":"","context":"In &quot;Case Briefs&quot;","block_context":{"text":"Case Briefs","link":"https:\/\/www.scconline.com\/blog\/post\/category\/casebriefs\/"},"img":{"alt_text":"appointment of SEBI adjudicating office","src":"https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2025\/12\/appointment-of-SEBI-adjudicating-office.webp?resize=350%2C200&ssl=1","width":350,"height":200,"srcset":"https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2025\/12\/appointment-of-SEBI-adjudicating-office.webp?resize=350%2C200&ssl=1 1x, https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2025\/12\/appointment-of-SEBI-adjudicating-office.webp?resize=525%2C300&ssl=1 1.5x, https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2025\/12\/appointment-of-SEBI-adjudicating-office.webp?resize=700%2C400&ssl=1 2x"},"classes":[]},{"id":260869,"url":"https:\/\/www.scconline.com\/blog\/post\/2022\/01\/31\/legislations-monthly-round-up-january-2022\/","url_meta":{"origin":211897,"position":3},"title":"Legislations | Monthly Round-Up [January, 2022]","author":"Bhumika Indulia","date":"January 31, 2022","format":false,"excerpt":"CABINET SECRETARIAT Government of India (Allocation of Business) Three Hundred and Sixty-sixth Amendment Rules, 2022 On January 05, 2022, the\u00a0Government of India (Allocation of Business) Three Hundred and Sixty-sixth Amendment Rules, 2022 has been notified to amend the Government of India (Allocation of Business) Rules, 1961. READ MORE HERE MINISTRY\u2026","rel":"","context":"In &quot;Legal RoundUp&quot;","block_context":{"text":"Legal RoundUp","link":"https:\/\/www.scconline.com\/blog\/post\/category\/columns-for-roundup\/"},"img":{"alt_text":"","src":"https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2022\/01\/MicrosoftTeams-image-249.jpg?resize=350%2C200&ssl=1","width":350,"height":200,"srcset":"https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2022\/01\/MicrosoftTeams-image-249.jpg?resize=350%2C200&ssl=1 1x, https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2022\/01\/MicrosoftTeams-image-249.jpg?resize=525%2C300&ssl=1 1.5x, https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2022\/01\/MicrosoftTeams-image-249.jpg?resize=700%2C400&ssl=1 2x, https:\/\/i0.wp.com\/www.scconline.com\/blog\/wp-content\/uploads\/2022\/01\/MicrosoftTeams-image-249.jpg?resize=1050%2C600&ssl=1 3x"},"classes":[]},{"id":200641,"url":"https:\/\/www.scconline.com\/blog\/post\/2018\/08\/26\/in-actions-seeking-relief-personal-to-the-deceased-right-to-sue-does-not-survive-against-his-representatives-inquiry-against-deceased-noticee-abated-sebi\/","url_meta":{"origin":211897,"position":4},"title":"In actions seeking relief personal to the deceased, right to sue does not survive against his representatives; inquiry against deceased noticee abated: SEBI","author":"Bhumika Indulia","date":"August 26, 2018","format":false,"excerpt":"Securities and Exchange Board of India (SEBI): A single member bench comprising of Satya Ranjan Prasad, Adjudicating Officer ordered to abate the adjudication proceedings initiated against the noticee, since deceased. 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