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Regulation 4 of SEBI (Prohibition of Fraudulent and

Q: Answer-Regulation 4 of SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Ma...

As per Reg 4- t illegal mobilization of funds by sponsoring or causing to be sponsored or carrying on or causing to be carried on any collective investment scheme by any person.29Explanation 301For the purposes of this sub-regulation, for the removal of doubts, it is clarified that the acts or omissions listed in this sub-regulation are not exhaustive and that an act or omission is prohibited if it falls within the purview of regulation 3, notwithstanding that it is not included in this sub-regulation or is described as being committed only by a certain category of persons in this sub-regulation.31Explanation2 Market Participant shall include any person or entity registered under Section 12 of the Act and its employees and agents.

Unfair Trade Practices Relating to Securities Market) Regulations, 2003, mentions "illegal mobilization of funds" in the context of:

A Collective investment schemes sponsored by registered entities

B Activities related to securities and services in the securities market

C Diversion of funds for purposes not approved by the Securities and Exchange Board of India

D Fundraising activities undertaken by individuals or entities without proper authorization

E Mobilization of funds for investment in listed securities

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Regulation 4 of SEBI (Prohibition of Fraudulent and

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