sebi:Order/VV/NK/2021-22/11984
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Facts / Headnote
Adjudication proceeding initiated vide SCN dated February 12, 2020 disposed of without any penalty
Provisions invoked
- s. 15
- s. 19
- s. 12A
- s. 12
- s. 15H
- s. 15J
Regulations
- Reg. 3
- Reg. 4(1)
- Reg. 3(a)
- Reg. 12A(a)
- Reg. 4(1)(2)(a)
Parties
- Ashok H Shah HUF
Holding
The adjudication proceedings against Ashok H Shah HUF vide SCN dated February 12, 2020 were disposed of without penalty as the allegation of creating false and misleading appearance of trading in Sterling International Enterprises Ltd. in violation of Section 12A of SEBI Act read with Regulations 3 and 4 of PFUTP Regulations was held not established.
Full text
Adjudication Order in respect of Ashok H Shah HUF in the matter of Sterling International Enterprises Limited. Page 2 of 29
Adjudication Order in respect of Ashok H Shah HUF in the matter of Sterling International Enterprises Limited. Page 3 of 29
Adjudication Order in respect of Ashok H Shah HUF in the matter of Sterling International Enterprises Limited. Page 4 of 29
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Source: SecMarx — sebi:Order/VV/NK/2021-22/11984. 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.