sebi:Order/MC/RM/2022-23/17548
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Facts / Headnote
Adjudication proceedings initiated vide SCN dated July 14, 2021 disposed of without penalty; violations not established
Provisions invoked
- s. 19
- s. 15H
- s. 15J
- s. 19G
- s. 19I
Regulations
- Reg. 20A
- Reg. 98
Parties
- CSE Capital Markets Pvt. Ltd.
Holding
The Noticee did not violate clause 1, 2(b), 3, 4, 11 of Part A of Schedule III of D&P Regulations, 1996 read with Regulation 20AA read with Regulation 98 of D&P Regulations, 2018 and clause 1.8(vii) & 1.8(viii) of SEBI Master Circular dated April 15, 2013. The adjudication proceedings initiated vide SCN dated July 14, 2021 were disposed of without penalty.
Full text
Adjudication Order against CSE Capital Markets Pvt. Ltd. in the matter of Delta Leasing & Finance Ltd. Page 2 of 14 aforesaid alleged violations against the Noticee. The appointment of the AO was communicated vide order dated January 13, 2021.
Adjudication Order against CSE Capital Markets Pvt. Ltd. in the matter of Delta Leasing & Finance Ltd. Page 3 of 14 Beneficial Owner (Transferor or Source Client) to the account of another beneficial owner (Transferee or the Target Client) through Delivery Instruction Slips (DIS).
Adjudication Order against CSE Capital Markets Pvt. Ltd. in the matter of Delta Leasing & Finance Ltd. Page 4 of 14 12. It was observed that the Noticee executed off market transactions which are
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Source: SecMarx — sebi:Order/MC/RM/2022-23/17548. 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.