sebi:Order/SR/PP/2019-20/7292/204
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Penalty imposed on Noticee
Provisions invoked
- s. 15
- s. 15H
- s. 15J
- s. 12
- s. 28A
- s. 4A
- s. 23
Regulations
- Reg. 12(1)
- Reg. 12(2)
Parties
- Incap Financial Services Limited
Holding
The Noticee, Incap Financial Services Limited, violated Regulation 12(1) of the PIT Regulations, 1992 by failing to implement the Model Code of Conduct and a penalty of Rs. 3,00,000/- was imposed under section 15HB of the SEBI Act, 1992.
Full text
Adjudication Order in respect of Incap Financial Services Limited in the matter of Incap Financial Services Ltd. Page 2 of 9 .
Adjudication Order in respect of Incap Financial Services Limited in the matter of Incap Financial Services Ltd. Page 3 of 9 .
Adjudication Order in respect of Incap Financial Services Limited in the matter of Incap Financial Services Ltd. Page 4 of 9 .
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Source: SecMarx — sebi:Order/SR/PP/2019-20/7292/204. 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.