sebi:QJA/GR/NRO/NRO/29709/2023-24
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Violations established against the Noticee; directions to be issued (directions section not fully included in excerpt)
Provisions invoked
- s. 11
- s. 19
- s. 12
- s. 12(3)
Regulations
- Reg. 4
- Reg. 3
- Reg. 13
- Reg. 2(1)(c)
- Reg. 4(1)
- Reg. 16
- Reg. 9
- Reg. 25
- Reg. 4(2)
- Reg. 15
- Reg. 16(2)
- Reg. 29(1)
- Reg. 29
- Reg. 27
- Reg. 2
- Reg. 21(2)
- Reg. 21
- Reg. 3(a)
- Reg. 15(1)
- Reg. 21(1)
Parties
- Manish Goel
Holding
The Noticee, Manish Goel, was found to have violated multiple provisions of the SEBI (Research Analysts) Regulations, 2014, PFUTP Regulations, and SEBI PMLA circulars, including trading during the restricted period, failure to maintain records, failure to provide disclosures, KYC/AML non-compliance, and failure to cooperate with inspection. However, the allegation of trading contrary to recommendations under Regulation 16(3) was not established.
Full text
__________________________________________________________________________________ Enquiry Order in the matter of Manish Goel, Research Analyst Page 2 of 50
__________________________________________________________________________________ Enquiry Order in the matter of Manish Goel, Research Analyst Page 3 of 50
__________________________________________________________________________________ Enquiry Order in the matter of Manish Goel, Research Analyst Page 4 of 50
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Source: SecMarx — sebi:QJA/GR/NRO/NRO/29709/2023-24. 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.