sebi:Order/ST/VP/2022-23/22622
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Facts / Headnote
Disposed of - proceedings abated due to death of noticee
Provisions invoked
- s. 15
- s. 19
- s. 15H
Regulations
- Reg. 3(a)
Parties
- Late Shiv Narain Agarwal
Holding
The adjudication proceedings against Late Shiv Narain Agarwal vide SCN bearing Reference No. SEBI/AO/ST/2021/32127/1 dated November 11, 2021 are disposed of without adjudication on merits due to the death of the noticee on October 01, 2021.
Full text
___________________________________________________________________________________ Adjudication Order in respect of late Shiv Narain Agarwal in the matter of dealings in Illiquid Stock Options at BSE Page 2 of 3
___________________________________________________________________________________ Adjudication Order in respect of late Shiv Narain Agarwal in the matter of dealings in Illiquid Stock Options at BSE Page 3 of 3
Markets) Regulations, 2003 (hereinafter referred to as “PFUTP Regulations, 2003”). APPOINTMENT OF ADJUDICATING OFFICER 3. The undersigned was appointed as Adjudicating Officer in the matter, conveyed vide communique dated July 06, 2021, under section 19 read with Section 15-I(1) of the SEBI Act, 1992 (hereinafter referred to as “SEBI Act, 1992”) and Rule 3 of SEBI (Procedure for Holding Inquiry and Imposing Penalties) Rules, 1995 (hereinafter referred to as “Adjudication Rules”) to conduct adjudication proceedings in the manner specified under Rule 4 of Adjudication Rules read with Section 15-I(1) and (2) of SEBI Act, 1992, and if satisfied that penalty is liable, impose such penalty deemed fit in terms of Rule 5 of Adjudication Rules and Section 15HA of SEBI Act,
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Source: SecMarx — sebi:Order/ST/VP/2022-23/22622. 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.