sebi:EAD-5/BS/AO/01/2017-18
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Facts / Headnote
Allegations not established; SCN disposed of without penalty
Provisions invoked
- s. 15
- s. 15I
Regulations
- Reg. 7
- Reg. 3
- Reg. 3(a)
Parties
- Crosseas Capital Services Pvt. Ltd.
Holding
The alleged violations of Regulations 3(a) to (d), 4(1), 4(2)(a) and (g) of the PFUTP Regulations and Clause A(3) of the Code of Conduct of Stock Brokers against Crosseas Capital Services Pvt. Ltd. are not established, and the adjudication proceedings are disposed of without penalty.
Full text
Adjudication Order against Crosseas Capital Services Pvt. Ltd. in the matter of Rushil Décor Ltd. Page 2 of 8 as PFUTP Regulations), SEBI (Stock Brokers and Sub Brokers) Regulations, 1992 (hereinafter referred to as Stock Brokers Regulations) by Crosseas Capital Services Pvt. Ltd. (hereinafter referred to as the Noticee) during the period July 07, 2011 to July 12, 2011 (hereinafter referred to as the Investigation Period).
Adjudication Order against Crosseas Capital Services Pvt. Ltd. in the matter of Rushil Décor Ltd. Page 3 of 8 6. However, Noticee did not file any reply on the merits of the case but asked for the inspection vide a letter dated December 23, 2016.
Adjudication Order against Crosseas Capital Services Pvt. Ltd. in the matter of Rushil Décor Ltd. Page 4 of 8 3. Prohibition of certain dealings in securities
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Source: SecMarx — sebi:EAD-5/BS/AO/01/2017-18. 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.