|
20. |
Registration
of Securities Ex changes and Cap ital Trade Points. |
21. |
Registration
e.t.c.
|
22. |
Revocation
of certificate of a Securities Exchange or Cap ital Trade Point. |
|
23. |
Approval
of amendments to Listing Rules. |
24. |
Securities
Exchange or Capital Points to give notice of disciplinary actions, etc. |
25. |
Disciplinary
actions by a Securities Exchange, etc.
|
|
26. |
Powers
to issue directives to Securities Exchanges or Cap ital Trade Points. |
27. |
Power
of Commission to prohibit trading in particular securities. |
28. |
Interpretation
under this Part. |
|
31. |
Application
of this Part of this Decree. |
32. |
Electronic
transfer of securities, etc. and prohibition of sale, etc., of securities
without approval of the
Commission. |
33. |
Register
of securities.
|
|
34. |
Particulars
of register. |
35. |
Production
of register. |
36. |
Excerpt
of register. |
|
37. |
Accounts
to be kept b y security dealers, etc. |
38. |
Payment
into certain trust accounts. |
39. |
Purposes
for which money m ay be withdrawn from trust account.
|
|
40. |
Money
in trust accounts not available for payment of debt. |
41. |
Claims and lien not affected.
|
42. |
Client's
money.
|
|
43. |
Right
to copies of book entries of transactions and to inspect contract notes. |
|
|
|
|
|
44. |
Control
of public invitations. |
45. |
Invitation
to the Public to deposit money. |
46. |
Meaning
of "invitation to the public" |
|
47. |
Offers
of sale deemed to be ma de by the company. |
48. |
Form
of application for shares to be issued with prospectus. |
49. |
Effective
date of a prospectus. |
|
50. |
Contents
of prospectus |
51. |
Application
of provisions relating to prospectus in certain cases. |
52. |
Prohibition
of issue, etc. of certain notices, circulars and advertisements. |
|
53. |
Exemption
certificate and effect. |
54. |
Expert's
statement on prospectus. |
55. |
Prospectus
on invitation to the public to acquire or dispose of securities. |
|
56. |
General
and restricted invitations to the public. |
57. |
Registration
of prospectus.
|
58. |
Contracts
in prospectus etc not to be varied without leave |
| 59. |
Document
with offer of securities for sale to be deemed a prospectus. |
60. |
Interpretation
as to prospectus statements. |
61. |
Form
of statement in lieu of prospectus. |
|
62. |
Civil
liability for mis-statements in prospectus. |
63. |
Criminal
liability for mis-statement in prospectus. |
64. |
Criminal
liability in respect of statements in lieu of prospectus.
|
|
65. |
Allotment
of securities. |
66. |
Opening
of subscription lists. |
67. |
No
allotment un less minim um subscription received. |
|
68. |
Application
of moneys to be held in trust until allotment. |
69. |
Prohibition
of allotment in certain cases.
|
70. |
Effect
of irregular allotment. |
|
71. |
Action
for rescission.
|
72. |
Allotment
of securities and dealing on Securities Exchange, etc.
|
73. |
Return
of surplus moneys to subscribers, etc.
|
|
81. |
False
trading and market rigging transactions. |
82. |
Securities
market manipulation. |
83. |
False
or misleading statements. |
|
84. |
Fraudulently
inducing persons to deal in securities. |
85. |
Dissemination
of illegal information |
86. |
Prohibition
of fraudulent means |
|
87. |
Penalties.
|
88. |
Prohibition
on dealing in securities by insiders. |
89. |
Abuse
of information obtained in official capacity. |
|
90. |
Actions not prohibited by sections 89 and 90: dealings in securities by
insiders. |
91. |
Trustees
and personal representatives.
|
92. |
Effect
of contravention.
|
|
93. |
Civil
liability of insider. etc. |
94. |
Penalty
for contravention. |
95. |
Meaning
of certain words used in this Part. |
|
96. |
Criminal
liability under this Part. |
97. |
Compensation
to be determined by Commission or Tribunal. |
98. |
Limitation
to recovery.
|
|
99. |
Meaning
of certain words used in this Part. |
100. |
Reconstruction
and merger of companies. |
101. |
Power
to acquire shares of dissenting shareholder. |
|
102. |
Dissenters
right to compel acquisition of his shares. |
103. |
Take-over
bids.
|
104. |
Person
making a take-over bid. |
|
105. |
Authority
to proceed with take-over bid. |
106. |
Registration
of copy of proposed bid. |
107. |
Requirements
as to bid under take-over bid. |
|
108. |
Corporation
making take-over bid. |
109. |
Despatch
of bid to shareholders, etc. |
110. |
Arrangement
for funds.
|
|
111. |
Directors'
circular. |
112. |
Experts'
opinion |
113. |
Bid
for all shares. |
|
114. |
Bid
for less than all shares.
|
115. |
Provisions
applicable to every bid. |
116. |
Commission
s duty in relation to certain instruments. |
|
117. |
Acquisition
of shares of dissenting shareholders. |
118. |
Procedure
w here dissenting offeree makes election. |
119. |
Duties
of offeree company.
|
|
120. |
General
provisions as to payments. |
121. |
Rights
of remaining shareholders. |
122. |
Offences.
|
|
123. |
Meaning
of Collective Investment Scheme, etc. |
124. |
Definitions
of certain words used in this Part. |
125. |
Authorisation
of un it trust scheme. |
|
126. |
Registration
of units. |
127. |
Approval
by Commission of alteration o f trusts deed or change of name of scheme. |
128. |
Revocation
of authorisation of unit trust schemes.
|
|
129. |
Prospectus,
documents on unit trust scheme. |
130. |
Civil
liabilities arising from prospectus. |
131. |
Redemption
of units.
|
|
132. |
Prohibition
of certain transactions and profits by managers under unit trust schemes. |
133. |
Liability
of trustees under un it trust scheme.
|
134. |
Audit
of accounts of un it trust schemes an d annual general meetings.
|
|
135. |
Price
of units. |
136. |
Investments. |
137. |
Inspection
and investigation. |
|
138. |
Constitutions
and management of U nit Trust Schemes. |
139. |
Alteration
of Schemes changes of Manager or Trustee. |
140. |
Restriction
on activities of managers. |
|
141. |
Publication
of Scheme particulars. |
142. |
Power
of intervention.
|
143. |
Representation
against refusal o r revocation. |
|
144. |
Applications
to the Tribunal. |
145. |
Investigations. |
146. |
Registration
of Community Savings, Esusu Schemes, etc. |
|
147. |
Real
Estate Investment Schemes. |
|
|
|
|
|
148. |
Establishment
of an Investor Protection Fund. |
149. |
Money
constituting investor Protection Fund. |
150 |
Fund
to be kept in separate bank account. |
|
151. |
Payments
out of the investor Protection Fund. |
152. |
Accounts
of an investors Protection Fund. |
153. |
Power
of the Board to delegate functions to its Management sub- committee. |
|
154. |
Amount
in the Investors Protection Fund. |
155. |
Protection
of Investors Protection F und in the event of any reduction. |
156. |
Levy
to meet liabilities.
|
|
157. |
Power
of a Securities Exchange or Cap ital Trade Point to make advance to Fund. |
158. |
Investment
of Investors Protection Fund.
|
159. |
Application
of Investors Protection Fund. |
|
160. |
Claims
against an Investors Protection fund. |
161. |
Notice
calling for claims against Investors Protection Fund. |
162. |
Power
to settle claims.
|
|
163. |
Form
of order of Tribunal. |
164. |
Power
of Boa rd to required production of securities. |
165. |
Subrogation.
|
|
166. |
Payment
of claim only from Investors Protection Fund. |
167. |
Provision
where Investors Protection Fun d is insufficient to meet claim. |
168. |
Power
of the Securities Exchange or Cap ital Trade Point to enter into contract
of insurance. |
|
169. |
Application
of insurance money. |
170. |
Interpretation. |
|
|
|
171. |
Bodies
to which this Part applies. |
172. |
Issues
of registered bonds or promissory notes. |
173. |
Restriction
on raising of funds from the capital market. |
|
174. |
Loans
to be charged upon revenue. |
175. |
Bodies
to publish details of loans in the Gazette or other official document. |
176. |
Register
of securities and appointment of Registrar. |
|
177. |
Appointment
of issuing house.
|
178. |
Liability
of a body in respect of issue of registered securities. |
179. |
Bond
holder to be registered.
|
|
180. |
Condition
for registration. |
181. |
Bond
Certificate. |
182. |
Transfer
of register ed bond. |
|
183. |
Registration
of transfer of bonds. |
184. |
Registration
of liens on bonds.
|
185. |
Closing
of register.
|
|
186. |
Register
to be conclusive. |
187. |
Promissory
Notes. |
188. |
Manner
and effects of endorsement. |
|
189. |
Rights
of survivorship. |
190. |
Registered
bonds. |
191. |
Appropriation
of revenue. |
|
192. |
Payment
of interest. |
193. |
Cessation
of liabilities on interest |
194. |
Payments.
|
|
195. |
Appointment
of trustees. |
196. |
Powers
of Trustees. |
197. |
Trustees
may be interested parties. |
|
198. |
New
Trustees. |
199. |
Waiver
by Trustees. |
200. |
Appropriation
of revenue for sinking fund. |
|
201. |
Separate
sinking fund. |
202. |
Investment
of sinking fund. |
203. |
Cessation
of contribution to sinking fund. |
|
204. |
Expenses
to be paid out of sinking fund. |
205. |
Deficiency
in fund to be charge d upon revenue. |
206. |
Payment
into sin king fund in case of default by a body. |
|
207. |
Issue
of duplicate an d renew al of bonds and Promissory Notes. |
208. |
Right
of Registrar to compel renewal of Promissory notes. |
209. |
Consolidation
and subdivision of bonds an d securities. |
|
210. |
Indemnity
bond. |
211. |
Immediate
discharge in certain cases. |
212. |
Discharge
in other cases. |
|
213. |
Summary
procedure in special cases. |
214. |
Signature
to be printed on certificates. |
215. |
Notice
of trust not receivable save as provided. |
|
216. |
Exemption
from stamp duties. |
217. |
Delegation
of power. |
218. |
Inspection
of register an d documents, etc. |
|
219. |
Power
to make of Rules and Regulations. |
220. |
Requirements
of Securities Exchanges, etc. |
221. |
Binding obligation on successive. |
|
222. |
Application
of enactment use d in this Part. |
223. |
Interpretation
of certain words |
|
|
|
224. |
Establishment
of the Investments and Securities Tribunal. |
225. |
Composition
of the Tribunal.
|
226. |
Qualifications
for app ointment a s a Capital Market Assessor. |
|
227. |
Term
of office. |
228. |
Resignation
and removal. |
229. |
Salary
allowances and conditions of Capital Market Assessor. |
|
230. |
Filling
up of vacancies.
|
231. |
Order
constituting a Tribunal to be final. |
232. |
Secretary
to the Tribunal.
|
|
233. |
Other
staff of the Tribunal, etc. |
234. |
Jurisdiction
of the Tribunal, etc. |
235. |
Criminal
Prosecution. |
|
236. |
Appeals
from decisions of Commission. |
237. |
Powers
and procedures of the Tribunal. |
238. |
Right
to legal representation.
|
|
239. |
Application
of statute of limitation. |
240. |
Onus
of proof.
|
241. |
Judgement
o f the Tribunal.
|
|
242. |
Exclusion
of proceedings. |
243. |
Appeal
to the Court of Appeal. |
244. |
Costs. |
|
245. |
Further
appeals. |
|
|
|
|
