sebi:EAD-2/AO/112/2012
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Facts / Headnote
Charges not established; matter disposed of
Provisions invoked
- s. 15A
- s. 15
- s. 15J
- s. 11C
- s. 12
- s. 11C(2)
Holding
The Adjudicating Officer concluded that the charges leveled against the Noticee in the Show Cause Notice do not stand established and disposed of the matter without imposing any penalty.
Full text
Page 2 of 7 Officer) Rules, 1995 (hereinafter referred to as the ‘Adjudication Rules’) to inquire into and adjudge under Section 15A (a) of the Act for the alleged violation of the abovementioned provisions of the Act by the Noticee. SEBI vide Order dated January 04, 2012 appointed the undersigned as the AO.
Page 3 of 7 submissions. The Noticee vide letter dated August 17, 2012 made written submissions. 7. In view of the above, I am proceedings with the inquiry on the basis of the
Page 4 of 7 other employee of any intermediary or any person associated with securities market in any manner, in relation to the affairs of his business and may administer an oath accordingly and for that purpose may require any of those persons to appear before it personally.
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Source: SecMarx — sebi:EAD-2/AO/112/2012. 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.