sebi:SEBI/WTM/GM/EFD-I/DRA-II/83/2019-20

SEBI · SEBI · 2013-07-31 · G. Mahalingam, Whole Time Member

Reviewed by Varun Matlani, Advocate — Securities Lawyer practicing in SAT and SEBI

Facts / Headnote

Extant enquiry proceedings and SCN dated November 15, 2018 disposed of without any direction

Provisions invoked

s. 11
s. 11(4)
s. 11B
s. 12A
s. 12
s. 23D
s. 12(3)

Regulations relied on

SEBI (Intermediaries) Regulations, 2008
SEBI (Intermediaries) Regulations, 2008 — 23
SEBI (Intermediaries) Regulations, 2008 — 28(2)
SEBI (Stock Brokers) Regulations, 1992 — 27(iv)

Parties

Grishma Securities Private Limited

Holding

The extant fit-and-proper enquiry proceedings and SCN dated November 15, 2018 against Grishma Securities Private Limited are disposed of without any direction, and the noticee is not held to be not a fit and proper person at this stage.

Full text

______________________________________________________________________________________________ Order in the matter of Grishma Securities Pvt. Ltd. Page 2 of 22

______________________________________________________________________________________________ Order in the matter of Grishma Securities Pvt. Ltd. Page 3 of 22

______________________________________________________________________________________________ Order in the matter of Grishma Securities Pvt. Ltd. Page 4 of 22

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Source: SecMarx — sebi:SEBI/WTM/GM/EFD-I/DRA-II/83/2019-20. 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.