sebi:ASK/AO/08/2014-15
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Penalty imposed on the Noticee for violating PFUTP Regulations
Provisions invoked
- s. 15
- s. 15H
- s. 15J
Regulations
- Reg. 3
- Reg. 4(1)
- Reg. 4(2)
- Reg. 3(a)
- Reg. 4(2)(g)
- Reg. 4(2)(b)
Parties
- GKN Securities
Holding
The Adjudicating Officer held that GKN Securities violated regulations 3(a),(b),(c),(d), 4(1), 4(2)(a),(b) and (g) of the PFUTP Regulations by executing self trades in the scrip of Onelife Capital Advisors Limited, and imposed a penalty of Rs. 10,00,000 under section 15HA of the SEBI Act.
Full text
--------------------------------------------------------------------------------------------------------------------------------------- Adjudication order in respect of GKN Securities in the matter of Onelife Capital Advisors Limited
--------------------------------------------------------------------------------------------------------------------------------------- Adjudication order in respect of GKN Securities in the matter of Onelife Capital Advisors Limited
--------------------------------------------------------------------------------------------------------------------------------------- Adjudication order in respect of GKN Securities in the matter of Onelife Capital Advisors Limited
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Source: SecMarx — sebi:ASK/AO/08/2014-15. 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.