sebi:EAD/AO/SM/05/2017-18
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Monetary penalty imposed under Section 15HB of SEBI Act
Provisions invoked
- s. 15
- s. 12
- s. 15H
- s. 13
- s. 15I
- s. 15J
Regulations
- Reg. 7(1)
- Reg. 20A
Parties
- M/s SW Capital Private Limited (formerly Sunteck Wealthmax Capital Private Limited)
Holding
The Noticee violated SEBI circular no. ISD/CIR/RR/AML/1/06 dated January 18, 2006 and Clause 11 of Code of Conduct read with Regulation 20AA, and a monetary penalty of Rs. 2,00,000 was imposed under Section 15HB of the SEBI Act.
Full text
Page 2 of 9 Adjudication Order in the matter of M/s SW Capital Private Limited (formerly Sunteck Wealthmax Capital Private Limited
Page 3 of 9 Adjudication Order in the matter of M/s SW Capital Private Limited (formerly Sunteck Wealthmax Capital Private Limited
Page 4 of 9 Adjudication Order in the matter of M/s SW Capital Private Limited (formerly Sunteck Wealthmax Capital Private Limited
You have read the preview. Create a free account to read the full order, track this party, and analyse it in Ontology.
Free accounts include 10 searches/day with full order access.
Source: SecMarx — sebi:EAD/AO/SM/05/2017-18. 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.