sebi:EAD/KS/VB/AO/111/2017-18
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Facts / Headnote
Show Cause Notice dated December 03, 2015 disposed of without imposition of any penalty - violations not established, decided ex parte
Provisions invoked
- s. 15
- s. 15H
- s. 15J
Regulations
- Reg. 3
- Reg. 3(a)
Parties
- Anant Dattaram Yalavatakar
Holding
The Show Cause Notice dated December 03,2015 alleging violations of Regulations 3(a), (b), (c), (d), 4(1), 4(2)(a) and (g) of PFUTP Regulations, 2003 by Anant Dattaram Yalavatakar was disposed of without imposition of any penalty under Section 15HA of the SEBI Act, as the violations were held not established.
Full text
Page 2 of 13 APPOINTMENT OF ADJUDICATING OFFICER 3. Ms. Anita Kenkare was appointed as the Adjudicating Officer, vide Order dated April 16, 2015 and Communique dated November 05, 2015,under Section 15 I of the Securities and Exchange Board of India Act, 1992 (hereinafter referred to as "SEBI Act"), read with Rule 3 of the SEBI (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 1995 (hereinafter referred to as ‘Rules’) to inquire into and adjudge under Section 15HA of SEBI Act, the alleged violation of the provisions of Regulations 3(a), (b), (c), (d), 4(1), 4(2)(a) and (g) of PFUTP Regulations, 2003 by the Noticee.
Page 3 of 13 Self trades (BSE): Entity Name Broker On Both Buy & Sell Side Total Self Trade Volume Total Self Trade Count Self Trade count from same terminal No of days on which self trades done % Of Self Traded Qty. To Market Vol. Net LTP contribution by self trades(Rs.) Anant Dattaram Yalavatakar Adroit Financial Services Pvt Ltd 18510 38 38 3 0.071 0.1
Page 4 of 13 BSE THROUGH STOCK BROKER ADROIT FINANCIAL SERVICES PVT. LTD. ON BOTH BUY AND SELL SIDES Sl. No Date Total traded quantity in the Byke scrip on BSE Total Self trade qty Total buy trade qty % of self trade qty to buy qty
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Source: SecMarx — sebi:EAD/KS/VB/AO/111/2017-18. 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.