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......................................................................................................................... Description • The Depositories (Appeal to the Central Government) Rules, 1998 • The Depositories (Appeal to Securities Appellate Tribunal) Rules, 2000 • The Depositories (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 2005 ......................................................................................................................... Contents The Securities Laws (Amendment) Act, 2004 (1 of 2005 The Depositories Act, 1996 Chapter I - Preliminary 1. Short title, extent and commencement 2. Definitions Chapter II - Certificate of Commencement of Business 3. Certificate of commencement of business by depositories Chapter III - Rights and Obligations of Depositories, Participants, Issuers & Beneficial Owners 4. Agreement between depository and participant 5. Service depository 6. Surrender of certificate of security 7. Registration of transfer of securities with depository 8. Options to receive security certificate or hold securities withe depository 9. Securities in depositories to be in fungible form 10. Right of depositories and beneficial owner 11. Register of beneficial owner 12. Pledge or hypothecation of securities held in a depository 13. Furnishing of information and records by depository and issuer 14. Option to opt out in respect of any security 15. The Bankers Book Evidence Act to apply to depositories 16. Depositories to indemnify loss in certain cases 17. Rights and obligations of depositories,etc. Chapter IV - Enquiry and Inspection 18. Power of Board to call for information and enquiry 19. Power of Board to give directions in certain cases 19A.Penalty for failure to furnish information, return, etc. 19B.Penalty for failure to enter into an agreement 19C.Penalty for failure to redress Investors' grievances 19D.Penalty for delay in dematerialisation or issue of certificate of securities 19E.Penalty for failure to reconcile records 19F. Penalty for failure to comply with directions issued by Board under Section 19 of the Act 19G.Penalty for contravention where no separate penalty has been provided 19H.Power to adjudicate 19I. Factors to be taken into account by adjudicating officer 19J. Crediting sums realised by way of penalties to Consolidated Fund of India Chapter V - Penalty 20. Offences 21. Offences by companies Chapter VI - Miscellaneous Sec. 22-31 Part I - VI The Depositories (Appeal to the Central Government) Rules, 1998 Rule 1- 18 The Depositories (Appeal to Securities Appellate Tribunal) Rules, 2000 Rule 1-28 The Depositories (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 2005 Rule 1 - 7 .........................................................................................................................
