sebi:EAD-2/SS/GSS/2018-19/792
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Show cause notice disposed of; no penalty imposed
Provisions invoked
- s. 12A
- s. 15H
Regulations
- Reg. 7
- Reg. 2(c)
- Reg. 3
- Reg. 4
- Reg. 4(2)
- Reg. 3(a)
- Reg. 3(b)
Parties
- Crosseas Capital Services Pvt Ltd
Holding
The Adjudicating Officer held that the allegations of violation of PFUTP Regulations and the Stock Brokers Code of Conduct against Crosseas Capital Services Pvt Ltd do not stand established, and disposed of the show cause notice without imposing any penalty under Sections 15HA and 15HB of the SEBI Act.
Full text
______________________________________________________________________________________ Adjudication Order in respect of Crosseas Capital Services Pvt Ltd Page 2 of 16 (Ref No.: EAD-2/SS/SK/15/2018-19)
______________________________________________________________________________________ Adjudication Order in respect of Crosseas Capital Services Pvt Ltd Page 3 of 16 (Ref No.: EAD-2/SS/SK/15/2018-19)
______________________________________________________________________________________ Adjudication Order in respect of Crosseas Capital Services Pvt Ltd Page 4 of 16 (Ref No.: EAD-2/SS/SK/15/2018-19)
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Source: SecMarx — sebi:EAD-2/SS/GSS/2018-19/792. 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.