sebi:MO/88/MIRSD/09/04
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Facts / Headnote
Surrender of Certificate of Registration accepted and Certificate of Registration No. INB230894731 cancelled w.e.f. 27 September 2004
Provisions invoked
- s. 19
Regulations
- Reg. 16
- Reg. 16(5)
Parties
- M/s. Soni Securities Ltd.
Holding
The surrender of the Certificate of Registration of M/s. Soni Securities Ltd. (Registration No. INB230894731) as a stock broker was accepted and the Certificate was cancelled with effect from 27 September 2004.
Full text
Home » Enforcement » Orders » Orders of Chairman/Members Enforcement Enforcement▼ ORDER IN THE MATTER OF CANCELLATION OF CERTIFICATE OF REGISTRATION OF M/s. SONI SECURITIES LTD. AS STOCK BROKER OF THE NATIONAL STOCK EXCHANGE OF INDIA LTD. MO/88/MIRSD/09/04 1. M/s. Soni Securities Ltd. is a stock broker of the National Stock Exchange of India Ltd. (hereinafter referred to as “the Exchange”) registered with the Securities and Exchange Board of India (herein referred to as “SEBI”) under Certificate of Registration No. INB230894731 dated March 19, 1997. 2. M/s. Soni Securities Ltd. has surrendered its Certificate of Registration as stock broker of the Exchange on February 5, 2004. The Exchange has approved the same w.e.f. April 1, 2004 and requested S vide letter dated May 10, 2004 to cancel the registration. 3. M/s. Soni Securities Ltd. has submitted a representation dated September 16, 2004 requesting to dispense with the procedure mentioned in regulation 16 of the SEBI (Procedure for Holding Enquir Enquiry Officer and imposing Penalty) Regulations, 2002 (hereinafter referred to as “Enquiry Regulations”). I have considered the representation, facts of the matter and other material on record a dispense with the procedure laid down in regulation 16 of the Enquiry Regulations.
Exchange”) registered with the Securities and Exchange Board of India (hereinafter referred to as “SEBI”) under Certificate of Registration No. INB230894731 dated March 19, 1997. 2. M/s. Soni Securities Ltd. has surrendered its Certificate of Registration as stock broker of the Exchange on February 5,
Order in the matter of cancellation of certificate of registration of Soni Securities Limited Sep 27, 2004 | Orders : Orders of Chairman/Members SECURITIES AND EXCHANGE BOARD OF INDIA
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Source: SecMarx — sebi:MO/88/MIRSD/09/04. 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.