sebi:Order/PM/NK/2020-21/8742
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Facts / Headnote
Penalty imposed on the Noticee
Provisions invoked
- s. 11
- s. 15
- s. 15H
- s. 15I
- s. 15J
- s. 15F
- s. 226
Regulations
- Reg. 13
- Reg. 16
- Reg. 199
- Reg. 18(1)
- Reg. 21
- Reg. 21(1)
- Reg. 18
Parties
- MCS Share Transfer Agent Limited
Holding
The Noticee, MCS Share Transfer Agent Limited, was held to have violated Regulation 18(1) read with Regulation 21 of the SEBI (RTI and STA) Regulations, 1993 and Clause 18 of the Code of Conduct prescribed in Schedule III under Regulation 13 of those Regulations, by failing to produce documents required by the Auditor appointed by SEBI. A monetary penalty of Rs. 5,00,000/- was imposed under section 15HB of the SEBI Act, 1992.
Full text
Adjudication Order in respect of MCS Share Transfer Agent Limited In the matter of Inspection/Audit of Books of MCS Share Transfer Agent Limited .
Adjudication Order in respect of MCS Share Transfer Agent Limited In the matter of Inspection/Audit of Books of MCS Share Transfer Agent Limited .
Adjudication Order in respect of MCS Share Transfer Agent Limited In the matter of Inspection/Audit of Books of MCS Share Transfer Agent Limited .
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Source: SecMarx — sebi:Order/PM/NK/2020-21/8742. 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.