sebi:Order/PM/NK/2019-20/6604
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Facts / Headnote
Violations established; monetary penalty imposed under Section 15HB of the SEBI Act, 1992
Provisions invoked
- s. 15
- s. 15H
- s. 15I
- s. 15J
- s. 28A
- s. 434
Regulations
- Reg. 13
- Reg. 3
- Reg. 57(1)
- Reg. 200
- Reg. 64(1)
- Reg. 28(2)
- Reg. 28A
- Reg. 13(7)
- Reg. 57
Parties
- Inventure Merchant Banker Services Private Limited
Holding
The Noticee violated Regulation 57(1) and 64(1) of SEBI (ICDR) Regulations, 2009, Regulation 28(2) of SEBI (Merchant Bankers) Regulations, 1992, and Clauses 4, 6 and 20 of the Code of Conduct under Schedule III read with Regulation 13 of the SEBI (Merchant Bankers) Regulations, 1992, and is liable for monetary penalty under Section 15HB of the SEBI Act, 1992.
Full text
Adjudication Order in respect of Inventure Merchant Banker Services Private Limited in the matter of Inspection of books of Inventure Merchant Banker Services Private Limited. Page 2 of 38
Adjudication Order in respect of Inventure Merchant Banker Services Private Limited in the matter of Inspection of books of Inventure Merchant Banker Services Private Limited. Page 3 of 38
Adjudication Order in respect of Inventure Merchant Banker Services Private Limited in the matter of Inspection of books of Inventure Merchant Banker Services Private Limited. Page 4 of 38
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Source: SecMarx — sebi:Order/PM/NK/2019-20/6604. 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.