sebi:ORDER/PS/NS/2021-22/15465
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Facts / Headnote
Noticee held liable for contravention of PFUTP Regulations, 2003; penalty imposed under section 15HA of SEBI Act
Provisions invoked
- s. 15
- s. 15H
- s. 15J
- s. 11C
- s. 28A
Regulations
- Reg. 3
- Reg. 3(a)
Parties
- Ms. Krishna Ojha
Holding
The Noticee was found to have violated regulations 3(a), (b), (c), (d), 4(1) and 4(2)(a) of the PFUTP Regulations, 2003 by executing synchronized reversal trades in an illiquid stock options contract, and monetary penalty was imposed under section 15HA of the SEBI Act.
Full text
Adjudication Order in respect of Ms. Krishna Ojha in the matter of dealings in Illiquid Stock Options at the BSE Page 2 of 28
Adjudication Order in respect of Ms. Krishna Ojha in the matter of dealings in Illiquid Stock Options at the BSE Page 3 of 28
Adjudication Order in respect of Ms. Krishna Ojha in the matter of dealings in Illiquid Stock Options at the BSE Page 4 of 28
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Source: SecMarx — sebi:ORDER/PS/NS/2021-22/15465. 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.