sebi:Order/AC/LM/2021-22/13952
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Facts / Headnote
abated
Provisions invoked
- s. 15
- s. 15H
Regulations
- Reg. 4(1)
Parties
- Late Ms Kusum Saraf
Holding
The adjudication proceedings initiated against Late Ms Kusum Saraf for alleged violation of PFUTP Regulations, 2003 stand abated without going into merits and are disposed of, with no penalty imposed following her death.
Full text
______________________________________________________________________ Adjudication Order in respect of Late Ms Kusum Saraf in the matter of dealings in Illiquid Stock Options at the BSE
______________________________________________________________________ Adjudication Order in respect of Late Ms Kusum Saraf in the matter of dealings in Illiquid Stock Options at the BSE
Page 2 of 3 Regulations 4(1) & 4(2)(a) of the SEBI (Prohibition of Fraudulent and Unfair Trading Practices related to Securities Markets) Regulations, 2003 (hereinafter referred to as “PFUTP Regulations, 2003”). APPOINTMENT OF ADJUDICATING OFFICER
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Source: SecMarx — sebi:Order/AC/LM/2021-22/13952. 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.