sebi:Order/AN/AK/2024-25/31169

SEBI · SEBI · 2022-02-25 · Amar Navlani, Adjudicating Officer

Reviewed by Varun Matlani, Advocate — Securities Lawyer practicing in SAT and SEBI

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Adjudication Order in the matter of Anand Rathi Share & Stock Brokers Ltd. |Page 2 of 55 2. Pursuant to the inspection, the findings of the inspection were communicated to the Noticee vide letter dated February 25, 2022 and the Noticee submitted its reply dated March 16, 2022. Thereafter, revised findings were communicated to the Noticee on June 02, 0222 and Noticee submitted its reply on June 22, 2022 to SEBI.

Adjudication Order in the matter of Anand Rathi Share & Stock Brokers Ltd. |Page 3 of 55 4. In view thereof, inter alia, SEBI initiated Adjudication proceedings in respect of the Noticee under Section 15 I of the Securities and Exchange Board of India Act, 1992 for the alleged violations of the provisions of law, as stated.

Adjudication Order in the matter of Anand Rathi Share & Stock Brokers Ltd. |Page 4 of 55 Section 15 A(a) and 15HB of the SEBI Act, 1992 and Section 23D of the SC(R) Act, for the violations alleged to have been committed by the Noticee.

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