sebi:EAD-2/SS/GSS/2018-19/790
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Facts / Headnote
Exonerated - SCN disposed of without penalty
Provisions invoked
- s. 15
- s. 15H
Regulations
- Reg. 7
Parties
- Adroit Financial Services Pvt. Ltd
Holding
The alleged violation of Clause A(2) of the Code of Conduct read with Regulation 7 by Adroit Financial Services Pvt. Ltd. was held not established and the SCN dated May 31, 2017 was disposed of without imposing any monetary penalty under Section 15HB of the SEBI Act.
Full text
______________________________________________________________________________________ Adjudication Order in respect of Adroit Financial Services Pvt. Ltd Page 2 of 7 (Ref No.: EAD-2/SS/SK/13/2018-19)
______________________________________________________________________________________ Adjudication Order in respect of Adroit Financial Services Pvt. Ltd Page 3 of 7 (Ref No.: EAD-2/SS/SK/13/2018-19)
______________________________________________________________________________________ Adjudication Order in respect of Adroit Financial Services Pvt. Ltd Page 4 of 7 (Ref No.: EAD-2/SS/SK/13/2018-19)
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Source: SecMarx — sebi:EAD-2/SS/GSS/2018-19/790. 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.