sebi:Order/AN/SM/2024-25/31350
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Facts / Headnote
Penalty of Rs. 1,00,000 imposed under Section 15EB of SEBI Act, 1992
Provisions invoked
- s. 11B
- s. 11
- s. 15
- s. 15J
- s. 15F
- s. 28A
- s. 15E
Regulations
- Reg. 19
Parties
- Bestway Smart Financial Private Limited
Holding
The Noticee violated Regulation 19 of SEBI (Investment Advisers) Regulations, 2013 by failing to maintain call recordings, and a monetary penalty of Rs. 1,00,000 under Section 15EB of SEBI Act, 1992 was imposed.
Full text
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Source: SecMarx — sebi:Order/AN/SM/2024-25/31350. 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.