sebi:Order/JS/DJ/2018-19/1315
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Facts / Headnote
Penalty imposed on Noticee
Provisions invoked
- s. 15
- s. 15H
- s. 15B
- s. 15J
Regulations
- Reg. 13
- Reg. 199
- Reg. 8
- Reg. 201
- Reg. 18
- Reg. 9(1)
- Reg. 18(2)
- Reg. 53A
- Reg. 9A(1)(b)
- Reg. 8A
- Reg. 9(1)(b)
Parties
- S K Infosolutions Pvt Ltd
Holding
The Noticee was found to have violated Regulation 9(1)(b) of RTA & STA Regulations 1993 and Instruction 1 of RRTI Circular No. 1(94-95) for failing to enter into legally valid agreements with 10 client body corporates, Regulation 9(1) of PIT Regulations 2015 for failing to formulate a code of conduct, and Regulation 18(2) of RTA & STA Regulations 1993 and Clause 2 of Code of Conduct read with Regulation 13 for misrepresenting facts to the inspection team. A total penalty of Rs. 5,00,000 was imposed (Rs. 3,00,000 under Section 15B and Rs. 2,00,000 under Section 15HB of the SEBI Act).
Full text
Adjudication Order in respect of SK Infosolutions Pvt Ltd in the matter of inspection of the books and records of S K Infosolutions Pvt Ltd
Adjudication Order in respect of SK Infosolutions Pvt Ltd in the matter of inspection of the books and records of S K Infosolutions Pvt Ltd
Adjudication Order in respect of SK Infosolutions Pvt Ltd in the matter of inspection of the books and records of S K Infosolutions Pvt Ltd
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Source: SecMarx — sebi:Order/JS/DJ/2018-19/1315. 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.