sebi:Order/MC/VS/2019-20/5196

SEBI · SEBI · 2019-08-06 · Maninder Cheema, Adjudicating Officer

Reviewed by Varun Matlani, Advocate — Securities Lawyer practicing in SAT and SEBI

Facts / Headnote

Penalty imposed on the Noticee

Provisions invoked

s. 15H
s. 15I
s. 15J
s. 23J
s. 23
s. 23D

Regulations

Reg. 13(1)(a)(i)

Parties

Raghunandan Capital Private Ltd.

Holding

The Noticee was found to have violated SEBI Circular MIRSD/SE/Cir-19/2009 dated December 03, 2009 by failing to settle running accounts of its clients, and a penalty of Rs. 1,00,000/- was imposed under Section 15HB of the SEBI Act.

Full text

Adjudication Order in respect of Raghunandan Capital Private Ltd. in the matter Raghunandan Capital private Ltd. Page 2 of 19

Adjudication Order in respect of Raghunandan Capital Private Ltd. in the matter Raghunandan Capital private Ltd. Page 3 of 19

Adjudication Order in respect of Raghunandan Capital Private Ltd. in the matter Raghunandan Capital private Ltd. Page 4 of 19

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Source: SecMarx — sebi:Order/MC/VS/2019-20/5196. 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.