sebi:PB/AO-19/2011
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Facts / Headnote
Violation established; penalty of Rs.1,00,000 imposed
Provisions invoked
- s. 15
- s. 15H
- s. 15J
Regulations
- Reg. 3
- Reg. 4(1)
- Reg. 15
- Reg. 4(a)
- Reg. 2
- Reg. 3(a)
- Reg. 3(c)
- Reg. 3(b)
- Reg. 4(2)(a)
- Reg. 3(d)
Parties
- Mithani Securities Pvt. Ltd.
Holding
The Noticee violated regulations 3, 4(1) and 4(2)(a) of the PFUTP Regulations and Clause A(2) of the Code of Conduct for Sub-Brokers, and was held liable for monetary penalty under sections 15HA and 15HB of the SEBI Act with a total penalty of Rs.1,00,000 imposed.
Full text
Page 2 of 23 Price-Volume date at BSE Date Open Price High Price Low Price Close Price No. of Shares Total Turnover(Rs.) Sensex 26-Dec-07 386.00 440.00 386.00
Page 3 of 23 as “Brokers Regulations”) and therefore, liable for monetary penalty under sections 15HA and 15HB of Securities and Exchange Board of India Act, 1992 (hereinafter referred to as “SEBI Act”).
Page 4 of 23 action, client ID was suspended for one day. We have accordingly noted and taken care in the matter. 3. BSE has already levied a penalty of Rs. 10,000/- in this matter and the
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Source: SecMarx — sebi:PB/AO-19/2011. 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.