sebi:SO/EFD-2/SD/307/SEP/2019
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Settled
Provisions invoked
- s. 15J
Regulations
- Reg. 25
- Reg. 22
- Reg. 34
- Reg. 23
Parties
- BNP Paribas Arbitrage
Holding
The proposed proceedings against BNP Paribas Arbitrage for incorrect monthly reporting of offshore derivative instruments were settled qua the applicant upon payment of Rs. 25,35,000, with SEBI agreeing not to initiate enforcement action for the said defaults subject to conditions.
Full text
Settlement order in respect of BNP Paribas Arbitrage in the matter of incorrect monthly reporting in respect of offshore derivative instruments (ODI) monthly reports. Page 1 of 3
Settlement order in respect of BNP Paribas Arbitrage in the matter of incorrect monthly reporting in respect of offshore derivative instruments (ODI) monthly reports. Page 2 of 3
Settlement order in respect of BNP Paribas Arbitrage in the matter of incorrect monthly reporting in respect of offshore derivative instruments (ODI) monthly reports. Page 3 of 3
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Source: SecMarx — sebi:SO/EFD-2/SD/307/SEP/2019. 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.