sebi:Order/AK/AS/2022-23/25194

SEBI · SEBI · 2016-02-25 · Amit Kapoor, Adjudicating Officer

This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.

Facts / Headnote

Penalty of Rs 5,00,000 imposed on the Noticee

Provisions invoked

Regulations

Parties

Holding

The Adjudicating Officer held that Concord Vinimay Pvt Ltd violated Clauses A(1), (2), (3) and (4) of the Code of Conduct for Stock Brokers read with Regulation 9(f) of the Broker Regulations and imposed a penalty of Rs 5,00,000 under Section 15HB of the SEBI Act.

Full text

Adjudication Order in respect of Concord Vinimay Pvt Ltd in the matter of Trading Members in Illiquid Stock Options Page 2 of 13

Adjudication Order in respect of Concord Vinimay Pvt Ltd in the matter of Trading Members in Illiquid Stock Options Page 3 of 13

Adjudication Order in respect of Concord Vinimay Pvt Ltd in the matter of Trading Members in Illiquid Stock Options Page 4 of 13

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Source: SecMarx — sebi:Order/AK/AS/2022-23/25194. 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.