0148-2013 M-s. Triveni Management Consultancy Services Ltd. vs Securities and Exchange Board of India
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Full text
“(a) KYC Forms and Agreements, (b) Prevention of Money Laundering Compliances, (c) Compliance with certain SEBI Circulars, (d) Margin Collection and Reporting (F&O Segment), (e) Analysis of Client Master, (f) Analysis of Client Codes allotted to the client, (g) Irregularities in handling of funds/securities, (h) Client’s outstanding balances and (i) Third party receipts.” 5. It is contended by counsel for appellant that the above deficiencies
BEFORE THE SECURITIES APPELLATE TRIBUNAL
MUMBAI
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Source: SecMarx — 0148-2013 M-s. Triveni Management Consultancy Services Ltd. vs Securities and Exchange Board of India. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (bench, timelines, appeal chain) is cited to us.