sebi:QJA/GR/WRO/WRO/29910/2023-24
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Violations held established ex-parte against the Noticee; directions issued including for full inventory of assets
Provisions invoked
- s. 19
- s. 12A
- s. 12(3)
Regulations
- Reg. 7
- Reg. 3
- Reg. 6
- Reg. 13
- Reg. 2(1)(c)
- Reg. 9
- Reg. 25
- Reg. 15
- Reg. 21
- Reg. 3(a)
- Reg. 15(1)
- Reg. 13(a)
- Reg. 21(1)
- Reg. 23
- Reg. 3(d)
- Reg. 28
- Reg. 24
- Reg. 27
- Reg. 26
- Reg. 15(9)
Parties
- M/s Money Classic
- Mr. Deepak Mishra
Holding
The Noticee, M/s Money Classic (Proprietor Mr. Deepak Mishra), was held ex-parte to have violated the SEBI interim Order dated December 27, 2019, SCORES redressal timelines, fit and proper criteria, and IA and PFUTP provisions by promising assured returns and dealing in client accounts.
Full text
__________________________________________________________________________________ Order in the matter of M/s Money Classic (Proprietor- Mr. Deepak Mishra), Investment Adviser Page 2 of 30
__________________________________________________________________________________ Order in the matter of M/s Money Classic (Proprietor- Mr. Deepak Mishra), Investment Adviser Page 3 of 30
__________________________________________________________________________________ Order in the matter of M/s Money Classic (Proprietor- Mr. Deepak Mishra), Investment Adviser Page 4 of 30
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Source: SecMarx — sebi:QJA/GR/WRO/WRO/29910/2023-24. 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.