0404-2004 Alliance Capital Mutual Fund and Others vs Securities and Exchange Board of India
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Full text
(i) Arora was guilty of professional misconduct inviting action under sections 11(4) and 11B of the Securities and Exchange Board of India Act, 1992 (hereinafter called the Act). (ii)Arora was guilty of violating the provisions of Regulations 4(a), 4(b), 4(c), 4(d) and 5 of the Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 1995 (for short FUTP Regulations). (iii) Arora was guilty of violating the provisions of Regulation 3 of the Securities and Exchange Board of India (Prohibition of Insider
IN THE SECURITIES APPELLATE TRIBUNAL MUMBAI Appeal No. 404 of 2004 Date of decision : 15.11.2007 1. Alliance Capital Mutual Fund, 2. Alliance Capital Asset Management (India) Private Limited, 3. Alliance Capital Management L.P.
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