sebi:Order/VV/AS/2023-24/28376-28375
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Facts / Headnote
Show Cause Notice disposed of in favour of the Noticee; no penalty imposed
Provisions invoked
- s. 15H
- s. 15J
Regulations
- Reg. 7
- Reg. 3
- Reg. 4(a)
- Reg. 7o
Parties
- Crosseas Capital Services Ltd
Holding
The allegations against the Noticee of executing self-trades in the scrip of Wockhardt Ltd. are not established, and the Noticee is not liable for violation of Regulations 3(a),(b),(c),(d), 4(1), 4(2)(a) and (g) of PFUTP Regulations and Clause A(3) of the Code of Conduct for Stock Brokers.
Full text
Adjudication order in respect of Crosseas Capital Services Ltd Page 2 of 21 In the matter of trading in the Scrip of Wockhardt Ltd
Adjudication order in respect of Crosseas Capital Services Ltd Page 3 of 21 In the matter of trading in the Scrip of Wockhardt Ltd
Adjudication order in respect of Crosseas Capital Services Ltd Page 4 of 21 In the matter of trading in the Scrip of Wockhardt Ltd
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Source: SecMarx — sebi:Order/VV/AS/2023-24/28376-28375. 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.