sebi:MO/71/IVD/08/04
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Suspension of certificate of registration for a period of four months
Provisions invoked
- s. 19
Regulations
- Reg. 7
- Reg. 6
- Reg. 13
- Reg. 5
- Reg. 30A
Parties
- M/s. Emmkay Shares & Stock Broking Pvt Ltd.
Holding
SEBI found Emmkay Share & Stockbrokers Ltd. violated Clauses A(2-5) of the Code of Conduct of the Broker Regulations and imposed suspension of its certificate of registration for four months.
Full text
Home » Enforcement » Orders » Orders of Chairman/Members Enforcement Enforcement▼ Order Against Emmkay Share & Stockbrokers Ltd Aug 31, 2004 | Orders : Orders of Chairman/Members MO/71/IVD/08/04 SECURITIES AND EXCHANGE BOARD OF INDIA
these trades were squared off. It was also observed that the said broker had used different client codes for same client, New Age Finsec Pvt Ltd.
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Source: SecMarx — sebi:MO/71/IVD/08/04. 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.