sebi:Order/PM/PA/2021-22/15733-15734
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Facts / Headnote
Noticees held liable for violation of regulation 5(3) of PIT Regulations; monetary penalty under section 15HB of SEBI Act held imposable
Provisions invoked
- s. 15
- s. 19
- s. 11B
- s. 11
- s. 15H
- s. 15F
Regulations
- Reg. 5
- Reg. 199
- Reg. 1
- Reg. 9(1)
- Reg. 5(4)
- Reg. 5(3)
- Reg. 5(2)
- Reg. 2(1)(c)
Parties
- Santosh K Rajpuria
- Sachin N Kanojiya
Holding
The Noticees, as compliance officers at different times, failed to properly review the Trading Plan dated July 28, 2015 for possible violations and to monitor its implementation, thereby violating regulation 5(3) of the PIT Regulations and attracting monetary penalty under section 15HB of the SEBI Act.
Full text
Adjudication order in respect of Santosh K Rajpuria and Sachin N Kanojiya, Page 2 of 38 In the matter of Mohota Industries Ltd.
Adjudication order in respect of Santosh K Rajpuria and Sachin N Kanojiya, Page 3 of 38 In the matter of Mohota Industries Ltd.
Adjudication order in respect of Santosh K Rajpuria and Sachin N Kanojiya, Page 4 of 38 In the matter of Mohota Industries Ltd.
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Source: SecMarx — sebi:Order/PM/PA/2021-22/15733-15734. 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.