sebi:EAD-2/SS/VS/2019-20/3430
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Facts / Headnote
Penalty imposed on Noticee for violation of PFUTP Regulations
Provisions invoked
- s. 15H
- s. 15I
- s. 15J
- s. 15
- s. 15F
- s. 28A
Regulations
- Reg. 3
- Reg. 3(a)
- Reg. 2(1)
Parties
- Mr. Anuj Katta
Holding
The Noticee, Mr. Anuj Katta, was held liable for violating Regulation 3(a), (b), (c), (d), 4(1) and 4(2)(a) of the PFUTP Regulations by executing non-genuine reversal trades in illiquid Stock Options at BSE, and a monetary penalty of ₹5,00,000 was imposed under Section 15HA of the SEBI Act.
Full text
_______________________________________________________________________________ Adjudication order in respect of Mr. Anuj Katta in the matter of Illiquid Stock Options at BSE Page 2 of 11 (File Ref No.: EAD-2/SS/VS/17/40/2019-20)
_______________________________________________________________________________ Adjudication order in respect of Mr. Anuj Katta in the matter of Illiquid Stock Options at BSE Page 3 of 11 (File Ref No.: EAD-2/SS/VS/17/40/2019-20)
_______________________________________________________________________________ Adjudication order in respect of Mr. Anuj Katta in the matter of Illiquid Stock Options at BSE Page 4 of 11 (File Ref No.: EAD-2/SS/VS/17/40/2019-20)
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Source: SecMarx — sebi:EAD-2/SS/VS/2019-20/3430. 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.