sebi:Order/AK/BS/2023-24/25772
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Penalty imposed
Provisions invoked
- s. 11B
- s. 11
- s. 15
- s. 19
- s. 15H
- s. 15J
- s. 28A
Regulations
- Reg. 6
- Reg. 9
Parties
- Amrapali Aadya Trading & Investments Private Limited
Holding
The Noticee violated Clause A(2) of the Code of Conduct for Stock Brokers under Schedule II read with Regulation 9(f) of the Broker Regulations by failing to exercise due skill, care and diligence in the conduct of its business while dealing with its clients, and a penalty of Rs.5,00,000/- was imposed under Section 15HB of the SEBI Act.
Full text
Adjudication Order in respect of Amrapali Aadya Trading & Investments Pvt Ltd in the matter of Trading Members in Illiquid Stock Options Page 2 of 11
Adjudication Order in respect of Amrapali Aadya Trading & Investments Pvt Ltd in the matter of Trading Members in Illiquid Stock Options Page 3 of 11
Adjudication Order in respect of Amrapali Aadya Trading & Investments Pvt Ltd in the matter of Trading Members in Illiquid Stock Options Page 4 of 11
You have read the preview. Create a free account to read the full order, track this party, and analyse it in Ontology.
Free accounts include 10 searches/day with full order access.
Source: SecMarx — sebi:Order/AK/BS/2023-24/25772. 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.