sebi:Order/BM/LD/2021-22/15049
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Facts / Headnote
Penalty imposed on the Noticee for violation of PFUTP Regulations, 2003
Provisions invoked
- s. 15
- s. 19
- s. 11B
- s. 11
- s. 15H
- s. 15J
- s. 15F
- s. 28A
Regulations
- Reg. 4
- Reg. 3
- Reg. 4(1)
- Reg. 3(a)
Parties
- Ashoke Agarwal & Others HUF
Holding
The Noticee violated Regulation 3(a), (b), (c), (d) and Regulation 4(1) & 4(2)(a) of the PFUTP Regulations, 2003 by executing non-genuine reversal trades in illiquid stock options at BSE, and a penalty of Rs. 5,00,000 was imposed under Section 15HA of the SEBI Act, 1992.
Full text
Adjudication Order in respect of Ashoke Agarwal & Others HUF in the matter of dealings in illiquid Stock Options at BSE 2 | P a g e
Adjudication Order in respect of Ashoke Agarwal & Others HUF in the matter of dealings in illiquid Stock Options at BSE 3 | P a g e
Adjudication Order in respect of Ashoke Agarwal & Others HUF in the matter of dealings in illiquid Stock Options at BSE 4 | P a g e
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Source: SecMarx — sebi:Order/BM/LD/2021-22/15049. 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.