sebi:Order/SD/RM/2022-23/24720
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Facts / Headnote
Abated - adjudication proceedings disposed of with no penalty imposed
Provisions invoked
- s. 15
- s. 19
- s. 15H
Regulations
- Reg. 4(1)
- Reg. 3(a)
Parties
- Late Smt. Kanta Devi Fogla
Holding
The adjudication proceedings initiated vide SCN dated August 06, 2021 against Late Smt. Kanta Devi Fogla stand abated without going into the merits and are disposed of with no penalty imposed due to her death on August 21, 2021.
Full text
Adjudication Order in respect of Late Smt. Kanta Devi Fogla in the matter of dealing in Illiquid options at BSE Page 2 of 4 Noticee had violated the provisions of Regulation 3(a), (b), (c), (d) and Regulation 4(1), 4(2)(a) of the SEBI (Prohibition of Fraudulent and Unfair Trading Practices related to Securities Markets) Regulations, 2003 (hereinafter referred to as, the “SEBI PFUTP Regulations”).
Adjudication Order in respect of Late Smt. Kanta Devi Fogla in the matter of dealing in Illiquid options at BSE Page 3 of 4 Health & Family Welfare, Government of West Bengal (https://janma- mrityutathya.wb.gov.in/#), which indicates the date of death of Smt. Kanta Devi Fogla as August 21, 2021.
Adjudication Order in respect of Late Smt. Kanta Devi Fogla in the matter of dealing in Illiquid options at BSE Page 4 of 4
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Source: SecMarx — sebi:Order/SD/RM/2022-23/24720. 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.