sebi:Order/DJ/AG/2022-23/22427
Facts / Headnote
Adjudication Proceedings abated; no penalty imposed
Provisions invoked
- s. 15
- s. 15H
Regulations relied on
- SEBI (PFUTP) Regulations, 2003
Parties
- Late Ms. Rama Ojha (PAN: AADPO7979F)
Holding
The Adjudication Proceedings initiated against the deceased Noticee, Late Ms. Rama Ojha, stand abated without going into the merits of the case, and no penalty is imposed.
Full text
Page 2 of 4 (d) and regulations 4(1) and 4(2)(a) of the SEBI (Prohibition of Fraudulent and Unfair Trading Practices related to Securities Markets) Regulations, 2003 (hereinafter referred to as “PFUTP Regulations, 2003”).
Page 3 of 4 7. Mr. Arvind Ojha (spouse of the Noticee), vide letter dated October 10, 2022 and e-mail dated November 5, 2022 informed that the Noticee had passed away on September 10, 2022 and provided copy of death certificate dated September 15, 2022 issued by the Registrar (Birth & Date), Municipality Dumdum, Department of Health and Family Welfare, Government of West Bengal . In this regard, above mentioned representative of Noticee was advised to submit notarized copy of the death certificate, which was subsequently submitted vide e-mail dated November 17, 2022. The aforementioned death certificate was verified from the website of Dumdum Municipality Corporation, which indicates the date of death of Ms. Rama Ojha as September 10, 2022.
Page 4 of 4 11. In terms of Rule 6 of the Adjudication Rules, a copy of this order is sent at the address of the Noticee and also to SEBI.
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