sebi:Order/AK/DS/2025-26/31827
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Show Cause Notice disposed of without imposition of penalty
Provisions invoked
- s. 15
- s. 15H
- s. 15J
Regulations
- Reg. 199
- Reg. 6
- Reg. 9(f)
- Reg. 30
- Reg. 9
- Reg. 10
- Reg. 12
- Reg. 9(b)
- Reg. 11
Parties
- ANS Private Limited
Holding
The Adjudicating Officer found that the allegations against ANS Private Limited regarding disproportionate trading activity of its AP, incorrect terminal reporting, and inadequate supervision of the AP were not established, and disposed of the SCN without imposing any penalty.
Full text
Adjudication Order in the matter of ANS Private Limited Page 2 of 21 SEBI (Procedure for Holding Inquiry and Imposing Penalties) Rules, 1995 (hereinafter referred to as “SEBI Adjudication Rules”) to inquire into and adjudge u/s 15HB of SEBI Act, the alleged violations committed by the Noticee.
Adjudication Order in the matter of ANS Private Limited Page 3 of 21 Noticee appeared through its Authorized Representative (“AR”) for the hearing. The AR reiterated the submissions already made vide emails dated September 24 and 25, 2025.
Adjudication Order in the matter of ANS Private Limited Page 4 of 21 (2) Exercise of due skill and care: A stock-broker shall act with due skill, care and diligence in the conduct of all his business. (5) Compliance with statutory requirements: A stock-broker shall abide by all the provisions of the Act and the rules, regulations issued by the Government, the Board and the Stock Exchange from time to time as may be applicable to him.
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/DS/2025-26/31827. 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.