sebi:Order/GG/VP/2021-22/15798-15805
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Facts / Headnote
SCN dated 30.06.2015 against Noticee Nos. 1 to 8 disposed of without any findings against them; no violation of PFUTP Regulations held; no penalty imposed.
Provisions invoked
- s. 15
- s. 15H
Regulations
- Reg. 3
- Reg. 3(a)
- Reg. 8A(4)
- Reg. 8A(2)
Parties
- Shree Gopal Gupta (Noticee No. 1)
- Ashok Kumar Nigam (Noticee No. 2)
- Hari Om Mishra (Noticee No. 3)
- Ajay Srivastava (Noticee No. 4)
- Paramjeet Arora (Noticee No. 5)
- Parul Kansal (Noticee No. 6)
- K P Abraham (Noticee No. 7)
- JLG Securities Private Limited (Noticee No. 8)
Holding
Noticee Nos. 1 to 8 are not held to be in violation of Regulations 3(a),(b),(c),(d), 4(1), 4(2)(a),(b),(e) and (g) of SEBI PFUTP Regulations, 2003, and the SCN dated 30 June 2015 is disposed without any findings against them.
Full text
__________________________________________________________________________ Adjudication Order in the matter of Regency Hospital Limited Page 2 of 12 Whole Time Director), Rashmi Kapoor (Managing Director/ Whole Time Director), Shree Gopal Gupta (Noticee No. 1), Ashok Kumar Nigam (Noticee No. 2), Hari Om Mishra (Noticee No. 3), Ajay Srivastava (Noticee No. 4), Paramjeet Arora (Noticee No. 5), Parul Kansal (Noticee No. 6), K P Abraham (Noticee No. 7) and JLG Securities Private Limited (Noticee No. 8).
__________________________________________________________________________ Adjudication Order in the matter of Regency Hospital Limited Page 3 of 12
__________________________________________________________________________ Adjudication Order in the matter of Regency Hospital Limited Page 4 of 12 auditors are of the opinion that the amounts in the statement of loans and advances to employees have been accurately extracted from the audited financial statements for the year ended March 31, 2011 and March 31, 2012 (para 10 of the certificate).
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Source: SecMarx — sebi:Order/GG/VP/2021-22/15798-15805. 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.