You are viewing the translated version of सूचीकृत लेखापरीक्षकले बोर्डलाई प्रतिवेदन दिनुपर्ने.
Section 83
Listed auditors must report to the board
If the listed auditors, while auditing the accounts of a securities trader, find that such securities traders have violated the financial regulations, they must prepare a separate report on the matter and submit it to the board.
Securities Act, 2063 (2007)
Preamble - 0
Chapter - 2
Section 3: Installation of boardSection 4: The Board shall be a self-governing and organized bodySection 5: Work, Duties and Powers of the BoardSection 6: Board meetings and decisionsSection 7: Appointment of ChairmanSection 8: Duties, Duties and Powers of the ChairmanSection 9: Remuneration, meeting allowances and other facilities of the chairman and membersSection 10: Qualification of chairman and memberSection 11: Disqualification of Chairman and MembersSection 12: Chairman and members are freedSection 13: Resignation of Chairman and MembersSection 14: Filling VacanciesSection 15: Actions will not be invalidatedSection 16: which may form committees or sub-committeesSection 17: Delegation of rightsSection 18: Information to be given regarding personal interestSection 19: Arrangements for accountants, consultants and staffSection 20: To take an oathSection 21: PrivacySection 22: Funding of the BoardSection 23: Arrangement of Akshaya KoshSection 24: Accounts of the BoardSection 25: Auditor and AuditSection 26: Annual Report
Chapter - 3
Section 27: Registration of SecuritiesSection 28: Sale and Transfer of SecuritiesSection 29: required to make public issue of securitiesSection 30: to publish prospectusSection 31: Approval of ProspectusSection 32: Things to be mentioned in the prospectusSection 33: AccountabilitySection 34: to be notified by the organized bodySection 35: In case of cancellation of listing, the compensation thereof
Chapter - 4
Section 36: to obtain a license to operate the securities marketSection 37: To apply for a license to operate a securities marketSection 38: Issuing a license to operate the securities marketSection 39: as the Board may prescribe conditionsSection 40: which may be refused a license to operate a securities marketSection 41: Minimum capital and financial resourcesSection 42: Duration and renewal of license to operate securities marketSection 43: to be traded in recognized securitiesSection 44: Management responsibility of the securities marketSection 45: Work, Duties and Rights of the Securities MarketSection 46: The securities market must informSection 47: The securities market must submit a reportSection 48: that the securities market can dictateSection 49: which can determine the limits of securities transactionsSection 50: to be paid by the securities marketSection 51: The stock market should assist the boardSection 52: Actions to be reportedSection 53: to be arranged by the securities market for compensation fundsSection 54: Provisions related to the operation of the compensation fundSection 55: The board may make arrangements related to compensation
Chapter - 5
Section 56: to obtain a license to conduct securities businessSection 57: To apply for a license to conduct securities businessSection 58: Issuing license to conduct securities businessSection 59: as the Board may prescribe conditionsSection 60: TheSection 61: Duration and renewal of license to carry on securities businessSection 62: Appointed to conduct securities business through subsidiary companySection 63: Types of Securities BusinessSection 64: REPRESENTATIVE NETWORK NOT GIVEN LICENSE TO DO SECURITIES BUSINESSSection 65: Official representativeSection 66: Rights of Securities DealersSection 67: Minimum capital and financial resources of the securities traderSection 68: to keep records of securities dealersSection 69: Official Representative's RecordSection 70: Information to be given
Chapter - 6
Section 71: Collective investment scheme not to be operated without approvalSection 72: Board to approve operation of collective investment schemeSection 73: Operation of collective investment schemesSection 74: Board may revoke approvalSection 75: Other arrangements relating to the operation of collective investment schemes
Chapter - 7
Section 76: Professional standardSection 77: Arrangements related to investor identification, purchase and sale orders, contract notes and money transactionsSection 78: Accounts to be kept by securities tradersSection 79: Except for theSection 80: Auditor to be appointedSection 81: Keeping the list of auditorsSection 82: Accounts and statements to be submittedSection 83: Listed auditors must report to the board
Chapter - 8
Section 84: Regulating and monitoringSection 85: capable of inspection and investigationSection 86: Information, data and details can be requestedSection 87: that can give orders or instructionsSection 88: which may suspend the licenseSection 89: which may revoke the permitSection 90: Special Powers of the Board
Chapter - 9
Section 91: Insider tradingSection 92: Persons who may be involved in insider tradingSection 93: Notice or information deemed to be publishedSection 94: Fraudulent TransactionsSection 95: Fluctuations in priceSection 96: Influencing the securities marketSection 97: Making Misleading StatementsSection 98: Fraudulent TransactionsSection 99: Securities should not be traded fraudulently or fraudulentlySection 100: If any document, statement or record is destroyed or hiddenSection 101: Penalty PunishmentSection 102: The Government of Nepal will be the plaintiffSection 103: Case study and scopeSection 104: the case can be investigated under imprisonment, house arrest or suspensionSection 105: Compensation to be paidSection 106: AppealSection 107: Remedy against Unfair BiasSection 108: Ineligible to be a director or general manager
Chapter - 10
Section 109: Provisions relating to the ownership or control of an organized bodySection 110: Shares certified by the securities market to be transferred should be registered by the organizationSection 111: Transfer of SecuritiesSection 112: Liaison with the Government of NepalSection 113: Government of Nepal may give instructionsSection 114: It will be the duty of all concerned to provide the assistance requested by the board to regulate and manage the securities transactions keeping in mind the development of theSection 115: Protection against acts done in good faithSection 116: Power to make rulesSection 117: able to make regulationsSection 118: Create directory and applySection 119: Consequences of the Securities Ordinance, 2062 being inoperative