sebi:Order/SM/DP/2022-23/23921
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Facts / Headnote
Show Cause Notice disposed of without imposition of any monetary penalty
Provisions invoked
- s. 12A
- s. 12
- s. 15H
- s. 15I
- s. 15J
Regulations
- Reg. 4
- Reg. 3
- Reg. 4(1)
- Reg. 3(a)
Parties
- A.F. Enterprises Limited
Holding
The Noticee was not found to have violated Section 12A(a), (b), (c) of the SEBI Act or Regulations 3(a)-(d) and 4(1), 4(2)(a), 4(2)(g) of the PFUTP Regulations, and the adjudication proceedings were disposed of without imposition of any monetary penalty.
Full text
In the matter of A.F. Enterprises Limited Page 2 of 9 Period Dates Opening Price (volume) on first day of the period (Rs) Closing price (volume) on last day of the period (Rs.) Low price(volume) during the period (Rs.) High Price(volume) during the period (Rs.) Total no. of shares traded during the period (avg. daily vol.) Before Investigation Period Feb 25, 2014 to May 22, 2014
In the matter of A.F. Enterprises Limited Page 3 of 9 show cause as to why an inquiry should not be held and penalty be not imposed on him under section 15HA of SEBI Act for the alleged violation of the provisions of SEBI Act and PFUTP Regulations. The SCN, inter alia, alleged the following:
In the matter of A.F. Enterprises Limited Page 4 of 9 present SCN was issued on November 4, 2022. Further, vide the said letter, the Noticee requested for inspection of documents.
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Source: SecMarx — sebi:Order/SM/DP/2022-23/23921. 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.