sebi:Order/AA/AR/2019-20/3413
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Facts / Headnote
Penalty imposed on the Noticee for violation of PFUTP Regulations
Provisions invoked
- s. 15
- s. 19
- s. 15H
- s. 15J
- s. 28A
- s. 15I(1)
Regulations
- Reg. 3
- Reg. 3(a)
Parties
- A One Steel And Alloys Private Limited
Holding
The Adjudicating Officer held that A One Steel And Alloys Private Limited violated Regulations 3(a), (b), (c), (d), 4(1) and 4(2)(a) of the PFUTP Regulations by executing 85 non-genuine synchronised reversal trades in 39 stock options contracts on BSE, and imposed a penalty of Rs. 7,00,000 under Section 15HA of the SEBI Act.
Full text
_________________________________________________________________ Adjudication Order in respect of A One Steel And Alloys Private Limited Page 2 of 17
_________________________________________________________________ Adjudication Order in respect of A One Steel And Alloys Private Limited Page 3 of 17
_________________________________________________________________ Adjudication Order in respect of A One Steel And Alloys Private Limited Page 4 of 17
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Source: SecMarx — sebi:Order/AA/AR/2019-20/3413. 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.