sebi:EAD-2/SS/SK/2019-20/4329
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Facts / Headnote
Adjudication proceedings initiated against the applicant vide SCN dated May 28, 2019 are settled and disposed of upon payment of settlement charges.
Provisions invoked
- s. 15
- s. 15H
- s. 15I
Regulations
- Reg. 25
- Reg. 28
- Reg. 23(1)
- Reg. 34
- Reg. 30
- Reg. 6
- Reg. 6(2)(c)
Parties
- Mr. Shivanand Shettigar
Holding
The adjudication proceedings against Mr. Shivanand Shettigar, Compliance Officer of YES Bank Ltd., for alleged violation of Regulation 6(2)(c) of the LODR Regulations are settled and disposed of upon payment of Rs. 14,45,000 towards settlement charges.
Full text
_________________________________________________________________________________________ Settlement Order in respect of Mr. Shivanand Shettigar in the matter of YES Bank Ltd Page 1 of 4 (File No.: EAD-2/SS/SK/37/77/2019-20)
_________________________________________________________________________________________ Settlement Order in respect of Mr. Shivanand Shettigar in the matter of YES Bank Ltd Page 2 of 4 (File No.: EAD-2/SS/SK/37/77/2019-20)
_________________________________________________________________________________________ Settlement Order in respect of Mr. Shivanand Shettigar in the matter of YES Bank Ltd Page 3 of 4 (File No.: EAD-2/SS/SK/37/77/2019-20)
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Source: SecMarx — sebi:EAD-2/SS/SK/2019-20/4329. 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.