sebi:VSS/AO-91/2009
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Facts / Headnote
Disposed of; alleged violation not established
Provisions invoked
- s. 15A
- s. 15
Regulations
- Reg. 13(4)
Holding
The alleged violation of regulations 13(4) and 13(5) of the PIT Regulations by the Noticee was not established, and the matter was disposed of without penalty.
Full text
Page 2 of 4 APPOINTMENT OF ADJUDICATING OFFICER 2. The undersigned was appointed as Adjudicating Officer vide order dated April 23 , 2008 under section 15 I of SEBI Act read with rule 3 of SEBI (Procedure for Holding Inquiry and Imposing Penalties by Adjudicating Officer) Rules, 1995 (hereinafter referred to as ‘Rules’) to inquire into and adjudge the alleged violation of provisions of the aforesaid regulations. SHOW CAUSE NOTICE, HEARING AND REPLY
Page 3 of 4 6. I have carefully perused the copies of Form D sent by the Noticee to AHTFL which bears the acknowledgment of AHTFL and find the status of compliance as under:-
Page 4 of 4 9. In terms of rule 6 of the Rules, copies of this order are sent to the Noticee and to SEBI. Date: June 09 , 2009 V.S.SUNDARESAN Place: Mumbai ADJUDICATING OFFICER
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Source: SecMarx — sebi:VSS/AO-91/2009. 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.