sebi:AO/JS/VRP/32/2017

SEBI · SEBI · 2016-09-22 · Jeevan Sonparote, Adjudicating Officer

This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.

Facts / Headnote

Adjudication proceedings disposed off, no penalty imposed

Provisions invoked

s. 15
s. 19
s. 15H
s. 15I
s. 15J

Regulations

Reg. 7
Reg. 3(a)

Parties

Rikhav Investments

Holding

The Adjudicating Officer held that the Noticee broker had not aided and abetted self-trades of its client, and therefore no monetary penalty under Section 15HB of the SEBI Act, 1992 was attracted. The adjudication proceedings initiated against the Noticee were disposed off without penalty.

Full text

___________________________________________________________________________ Adjudication Order in the matter of Midfield Industries Limited Page 2 of 4

___________________________________________________________________________ Adjudication Order in the matter of Midfield Industries Limited Page 3 of 4

___________________________________________________________________________ Adjudication Order in the matter of Midfield Industries Limited Page 4 of 4

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Source: SecMarx — sebi:AO/JS/VRP/32/2017. 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.