sebi:EAD/SR/SJ/AO/22/2017-18
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Adjudication proceedings disposed of without imposing any monetary penalty
Provisions invoked
- s. 15J
- s. 15C
Parties
- Mr. Rajiv Sharma, Proprietor of Capital Life Market Research
Holding
The Adjudicating Officer found that the Noticee had failed to redress seven investor complaints within the stipulated time frame, violating Section 15C of the SEBI Act read with SEBI Circular CIR/OIAE/1/2014, but disposed of the proceedings without imposing any monetary penalty.
Full text
__________________________________________________________________________________ Adjudication Order in respect of Mr. Rajiv Sharma, Proprietor of Capital Life Market Research in the matter of non redressal of investor grievances Page 2 of 8
__________________________________________________________________________________ Adjudication Order in respect of Mr. Rajiv Sharma, Proprietor of Capital Life Market Research in the matter of non redressal of investor grievances Page 3 of 8
__________________________________________________________________________________ Adjudication Order in respect of Mr. Rajiv Sharma, Proprietor of Capital Life Market Research in the matter of non redressal of investor grievances Page 4 of 8
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/SR/SJ/AO/22/2017-18. 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.