sebi:WTM/GA/89/ISD/09/06
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Suspension of certificate of registration of M/s M’s Securities for a period of one month, effective on expiry of 21 days from the date of the order
Regulations
- Reg. 13(4)
- Reg. 5(1)
- Reg. 13(2)
- Reg. 17(1)
- Reg. 17(1)(i)
Parties
- M/s M’s Securities (INB080800013), Member, Bangalore Stock Exchange Ltd.
Holding
SEBI imposed suspension of the certificate of registration of M/s M’s Securities for one month for failure to comply with KYC norms/guidelines and contract-note requirements in trading in the scrip of HTL.
Full text
2 1.3 The maximum rise in the price of the scrip of HTL took place between November 16, 1999 and March 31, 2000, when it moved from Rs.275/- to Rs.815/-.
3 1.6 The transaction details executed by the Broker in the scrip of HTL on his proprietary account are as follows: Period Gross Purchase ( shares ) Gross Sales ( shares) November 16, 1999 to March 31, 2000 2,000 2,000 April 01, 2000 to March 31, 2001 1,20,940 1,20,750 April 01, 2001 to December 31, 2001 22,900 23,090
4 19.6.2000 400 500 12.5.00 500 500 20.6.2000 200 300 15.5.00 400 400 21.6.2000 400 400 16.5.00 400 400 22.6.2000 300 -- 17.5.00 300 300
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Source: SecMarx — sebi:WTM/GA/89/ISD/09/06. 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.