sebi:EAD/SR/SM/AO/31/2018-19
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Facts / Headnote
Show Cause Notice dated May 31, 2018 disposed of without imposition of any penalty
Provisions invoked
- s. 15
- s. 15H
- s. 15J
Regulations
- Reg. 7
- Reg. 3
- Reg. 4(1)
- Reg. 4(2)(a)
Parties
- Kamal Kumar Jalan Securities Private Ltd.
Holding
The Adjudicating Officer held that violations of regulations 4(1), 4(2)(a) and 4(2)(g) of PFUTP Regulations, 2003 and clauses A(2), A(3), A(4) and A(5) of the Code of Conduct for Stock Brokers were not established against Kamal Kumar Jalan Securities Private Ltd. The Show Cause Notice dated May 31, 2018 was disposed of without imposition of any penalty.
Full text
Adjudication Order in respect of Kamal Kumar Jalan Securities Private Ltd. in the matter of Twilight Litaka Pharma Ltd Page 2 of 8
Adjudication Order in respect of Kamal Kumar Jalan Securities Private Ltd. in the matter of Twilight Litaka Pharma Ltd Page 3 of 8
Adjudication Order in respect of Kamal Kumar Jalan Securities Private Ltd. in the matter of Twilight Litaka Pharma Ltd Page 4 of 8
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Source: SecMarx — sebi:EAD/SR/SM/AO/31/2018-19. 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.