sebi:CGM/AA/QJC-1/WRO/WRO/21480/2022-23
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Provisions invoked
- s. 19
- s. 12A
- s. 23J
- s. 12(3)
- s. 420
- s. 154
Regulations
- Reg. 3
- Reg. 2(1)(c)
- Reg. 16
- Reg. 9
- Reg. 25
- Reg. 200
- Reg. 3(a)
- Reg. 15(1)
- Reg. 13(a)
- Reg. 23
- Reg. 3(b)
- Reg. 21(1)
- Reg. 2(1)
- Reg. 15(3)
- Reg. 28
- Reg. 4(2)(k)
- Reg. 27
- Reg. 15(9)
- Reg. 13(b)
- Reg. 16(b)
Parties
- Market Captains Investment Advisor (Prop: Mr. Amit Soni)
Holding
The Noticee, Market Captains Investment Advisor (Prop: Mr. Amit Soni), was found in violation of multiple provisions of the IA Regulations, Intermediaries Regulations, SEBI Circulars, PFUTP Regulations, and the SEBI Act, including failure to disclose an FIR, failure to furnish information to SEBI, and failure to act in a fiduciary capacity while risk profiling clients.
Full text
_________________________________________________________________________ Enquiry Proceedings in respect of Market Captains Investment Advisor (Prop: Mr. Amit Soni)
_________________________________________________________________________ Enquiry Proceedings in respect of Market Captains Investment Advisor (Prop: Mr. Amit Soni)
_________________________________________________________________________ Enquiry Proceedings in respect of Market Captains Investment Advisor (Prop: Mr. Amit Soni)
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Source: SecMarx — sebi:CGM/AA/QJC-1/WRO/WRO/21480/2022-23. 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.