sebi:VSS/AO-92/2009
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Facts / Headnote
Alleged violation not established; matter disposed of
Provisions invoked
- s. 15A
- s. 15
Regulations
- Reg. 13(3)
Holding
The alleged violation of regulations 13(3) 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 3 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 3 6. I have carefully perused the copies of Form C sent by the Noticee to AHTFL bearing the acknowledgment of receipt by AHTFL and find the status of compliance by the Noticee is as under:
3. Show Cause Notice No. EAD-5/VSS/SS/133357/2008 dated July 29, 2008 (hereinafter referred to as “SCN”) was issued to the Noticee under rule 4(1) of the Rules to show cause as to why an inquiry should not be held and penalty be not imposed under section 15A (b) of SEBI Act for the alleged violation specified in the said SCN.
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Source: SecMarx — sebi:VSS/AO-92/2009. 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.