sebi:Order/MS/NS/2022-23/23187
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Facts / Headnote
Abated - proceedings disposed of as infructuous due to death of noticee
Provisions invoked
- s. 15
- s. 15H
Regulations
- Reg. 4(1)
- Reg. 3(a)
Parties
- Late Mr. Sanwarmal Agarwal
Holding
The adjudication proceedings against Late Mr. Sanwarmal Agarwal were abated and disposed of without going into the merits because the Noticee had passed away on April 05, 2015.
Full text
Adjudication Order in respect of Late Mr. Sanwarmal Agarwal in the matter of dealing in Illiquid Stock Options at BSE Page 2 | 3
Adjudication Order in respect of Late Mr. Sanwarmal Agarwal in the matter of dealing in Illiquid Stock Options at BSE Page 3 | 3
and counterparties, leading to allegations that the Noticee had violated Regulation 3(a),(b),(c),(d) and Regulation 4(1), 4(2)(a) SEBI (Prohibition of Fraudulent and Unfair Trading Practices related to Securities Markets) Regulations, 2003 (hereinafter referred to as, “PFUTP Regulations”).
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Source: SecMarx — sebi:Order/MS/NS/2022-23/23187. 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.