sebi:Order/AN/RG/2024-25/31089
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Facts / Headnote
Penalty imposed on the Noticee under Section 15EB of the SEBI Act, 1992 for violations of PFUTP Regulations, 2003 and SEBI (Research Analysts) Regulations, 2014
Provisions invoked
- s. 15
- s. 19
- s. 11B
- s. 12A
- s. 11
- s. 12
- s. 15J
- s. 15F
- s. 28A
- s. 15E
Regulations
- Reg. 3
- Reg. 2(1)(c)
- Reg. 25
- Reg. 2
- Reg. 3(a)
- Reg. 24(2)
- Reg. 2(1)(b)
Parties
- Abhishek Kumar Singh Proprietor of Supreme Investrade and Research Services (Research Analyst)
Holding
The Noticee, Abhishek Kumar Singh, proprietor of Supreme Investrade and Research Services, was found to have violated Regulations 3(a), 3(b), 3(d), 4(1) and 4(2)(k), (o) and (s) of the SEBI PFUTP Regulations, 2003 read with Sections 12A(a), (b) and (c) of the SEBI Act, 1992 and clauses 1, 2, 7 and 8 of the Code of Conduct under the SEBI (Research Analysts) Regulations, 2014, and a penalty of Rs. 5,00,000 was imposed under Section 15EB of the SEBI Act.
Full text
Adjudication order in the matter of Abhishek Kumar Singh Proprietor of Supreme Investrade and Research Services (Research Analyst) |Page 2 of 31
Adjudication order in the matter of Abhishek Kumar Singh Proprietor of Supreme Investrade and Research Services (Research Analyst) |Page 3 of 31
Adjudication order in the matter of Abhishek Kumar Singh Proprietor of Supreme Investrade and Research Services (Research Analyst) |Page 4 of 31
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