sebi:SD/AO/106/2009
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Facts / Headnote
Disposed off - no further inquiry necessary
Provisions invoked
- s. 15I
- s. 15G
Regulations
- Reg. 3(i)
- Reg. 4
Holding
No further inquiry is necessary in the instant adjudication proceedings and the matter is accordingly disposed off in view of the Board's consent order dated November 14, 2008.
Full text
Page 2 of 3 violation of the provisions of Regulations 3(i) & (ii) and 3A read with Regulation 4 of the PIT Regulations and Sections 12A(d)&(e) of the SEBI Act.
Page 3 of 3 been duly confirmed by the Enforcement Department of SEBI to the undersigned by Office Note dated September 17, 2009.
SHOW CAUSE NOTICE/REPLY: 3. Accordingly, a notice to show cause dated December 7, 2006 under Rule 4 (1) of the Adjudication Rules was issued to the Noticee asking it to show cause as to why an enquiry should not be held against it in terms of Section 15I of the SEBI Act and penalty be not imposed under Section 15G of the SEBI Act for the alleged violation by it of the abovementioned provisions of the PIT Regulations and the SEBI Act.
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Source: SecMarx — sebi:SD/AO/106/2009. 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.