sebi:190-210_207
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Warning issued - warned and advised to be more careful in future and diligently adhere to SEBI Act, Regulations and Rules
Provisions invoked
- s. 11B
- s. 11
- s. 19
Regulations
- Reg. 4
- Reg. 13(4)
- Reg. 11
- Reg. 13
- Reg. 5
- Reg. 23
Parties
- ABS Consultant Private Limited
Holding
M/s ABS Consultant Private Limited, Registrar to an Issue and Share Transfer Agent, was warned and advised to be more careful in future and to diligently adhere to the SEBI Act, Regulations and Rules.
Full text
SECURITIES AND EXCHANGE BOARD OF INDIA ORDER Under Regulation 13(4) of SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 against ABS Consultant Private Limited, a SEBI registered Registrar to an issue and share Transfer agent in respect of its dealings in the scrip of Warner multi media Limited.
delivery position was only 200 shares. Further, the volume of 4200 traded by him during the settlement constituted for 100% of the market volume of 4200 shares a done by him during the settlement have accounted for price rise from Rs.111 (closing price of Sett. No. 9) to Rs.128.
3 Nanavati Securities Pvt. Ltd and the letter received from M/s. Hiralal Thakurdas Nanavati. 11. Consideration of Issues and my observations
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Source: SecMarx — sebi:190-210_207. 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.