sebi:WTM/ASB/MIRSD/DOP/29817/2023-24
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Facts / Headnote
Certificate of Registration suspended for three months or till disposal of EOW FIR, whichever is later
Provisions invoked
- s. 19
- s. 11(4)
- s. 11B
- s. 12
- s. 27
- s. 154
- s. 3(2)
- s. 3(1)
- s. 29A
- s. 131B
- s. 131
Regulations
- Reg. 6
- Reg. 9
- Reg. 28
- Reg. 24
- Reg. 27
- Reg. 5(e)
Parties
- AUM Commodity Services Private Ltd.
Holding
The Whole Time Member held that AUM Commodity Services Private Ltd. failed to satisfy the 'fit and proper person' criteria under Schedule II of the SEBI (Intermediaries) Regulations, 2008 on a continuous basis and suspended its Certificate of Registration as a commodities derivatives broker (No. INZ000050137) for three months from the date of order or till disposal of the EOW FIR, whichever is later.
Full text
________________________________________________________________________________________ Order in respect of AUM Commodity Services Pvt. Ltd. in the matter of National Spot Exchange Ltd.
________________________________________________________________________________________ Order in respect of AUM Commodity Services Pvt. Ltd. in the matter of National Spot Exchange Ltd.
________________________________________________________________________________________ Order in respect of AUM Commodity Services Pvt. Ltd. in the matter of National Spot Exchange Ltd.
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Source: SecMarx — sebi:WTM/ASB/MIRSD/DOP/29817/2023-24. 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.