sebi:EAD/BJD/NJMR/103/2017-18
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Disposed of without any penalty
Provisions invoked
- s. 15
- s. 15H
- s. 15I
- s. 15J
Regulations
- Reg. 7
- Reg. 9
Parties
- Gigantic Securities Ltd.
- Rudra Shares and Stock Brokers Ltd.
Holding
The Adjudicating Officer held that the Noticee stock broker had failed to exercise adequate due diligence with regard to self-trades executed by its client, but took a lenient view and disposed of the adjudication proceedings without imposing any penalty.
Full text
_____________________________________________________________________________________ Adjudication Order in the matter of Exelon Infrastructure Ltd., Page 2 of 9
_____________________________________________________________________________________ Adjudication Order in the matter of Exelon Infrastructure Ltd., Page 3 of 9
_____________________________________________________________________________________ Adjudication Order in the matter of Exelon Infrastructure Ltd., Page 4 of 9
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/BJD/NJMR/103/2017-18. 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.