Market Regulator definition
Examples of Market Regulator in a sentence
The Issuer submits to the jurisdiction of the Exchange and the Market Regulator, including without limitation, the Exchange’s and the Market Regulator’s regulation, investigation and enforcement jurisdiction.
CapitalVia Global Research Limited (Investment Advisor), (hereinafter referred as “us”/“we”/“the undersigned company”) incorporated under the provisions of Companies Act, 1956 and registered with Capital Market Regulator SEBI with Registration No. INA200001512 is engaged in the business of providing investment advisory services in relation to stock market.
Any officer or employee of a Participant or Access Person or any individual holding a similar position with a Participant or Access Person who engages in conduct that results in the Participant or Access Person contravening a Requirement may be found liable by the Market Regulator for the conduct and be subject to any penalty or remedy as if such person was the Participant or Access Person.
In appropriate cases, relevant information that cannot be obtained or generated by the Participant should be sought from sources outside the firm including from the Market Regulator.
The Listing Agreement authorizes the Exchange or the Market Regulator to halt, and authorizes the Exchange to suspend, trading in a Listed Issuer’s securities without notice and at any time, or the Exchange to delist the securities of a Listed Issuer, if the Exchange or the Market Regulator, as the case may be, has determined it is in the public interest to do so.
The Market Regulator recognizes that there is no one supervision system that will be appropriate for all Participants.
The Market Regulator recognizes that either approach may comply with this Policy provided the procedure used is reasonably designed to detect violations of the relevant Rule.
The Exchange or the Market Regulator can halt trading to allow for public dissemination of material news pursuant to Policy 5.
When the Market Regulator reviews the supervision system of a Participant (for example, when a violation occurs of Requirements), the Market Regulator will consider whether the supervisory system is reasonably well designed to prevent and detect violations of Requirements and whether the system was followed.
For example, previous disciplinary proceedings, warning and caution letters from the Market Regulator or the identification of problems with the supervision system or procedures by the Participant or the Market Regulator may warrant the implementation of more detailed or more frequent supervision and compliance procedures.