sebi:SO/AB/EFD2/2022-23/7163
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Facts / Headnote
Settled
Provisions invoked
- s. 19
- s. 12A
- s. 15H
- s. 15J
Regulations
- Reg. 9(f)
- Reg. 25
- Reg. 28
- Reg. 5
- Reg. 26
- Reg. 3(a)
Holding
The pending proceedings against the applicant trading members in the BSE illiquid stock options matter are settled qua the applicants under the SEBI Settlement Scheme for Stock Brokers - 2022 upon payment of the specified settlement amounts. By corrigendum, SIC Stocks and Services Pvt. Ltd. is added as Serial No. 125 and Para 7 is corrected to 125 entities.
Full text
1 Settlement Order in the matter of Trading Members in the illiquid stock options segment of BSE SO/AB/EFD2/2022-23/7163 BEFORE THE SECURITIES AND EXCHANGE BOARD OF INDIA SETTLEMENT ORDER In the matter of settlement applications filed under the SEBI Settlement Scheme for Stock Brokers - 2022
Corrigendum to Settlement Order in the matter of Trading Members in the illiquid stock options segment of BSE Page 2 of 2
3 Settlement Order in the matter of Trading Members in the illiquid stock options segment of BSE Nos. 1 to 124 and as per the following terms:
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Source: SecMarx — sebi:SO/AB/EFD2/2022-23/7163. 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.