sebi:ORDER/SM/DD/2020-21/12070
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Facts / Headnote
Proceedings disposed of without imposition of any penalty
Provisions invoked
- s. 15
- s. 15H
- s. 15J
Regulations
- Reg. 7
- Reg. 3
- Reg. 6
- Reg. 9(f)
- Reg. 9
- Reg. 3(a)
- Reg. 4(2)(g)
Parties
- Genuine Stock Brokers Pvt. Ltd.
Holding
The Adjudicating Officer held that the alleged violations of PFUTP Regulations and Clause A(3) of the Code of Conduct for stock brokers were not established against Genuine Stock Brokers Pvt. Ltd., and the proceedings were disposed of without imposition of any penalty.
Full text
Adjudication Order in respect of Genuine Stock Brokers Pvt. Ltd. in the matter of Birla Pacific Medspa Limited Page 2 of 12
Adjudication Order in respect of Genuine Stock Brokers Pvt. Ltd. in the matter of Birla Pacific Medspa Limited Page 3 of 12
Adjudication Order in respect of Genuine Stock Brokers Pvt. Ltd. in the matter of Birla Pacific Medspa Limited Page 4 of 12
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Source: SecMarx — sebi:ORDER/SM/DD/2020-21/12070. 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.