sebi:WTM/GM/EFD/14/2021-22
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Certificate of registration cancelled
Provisions invoked
- s. 19
- s. 12
Regulations
- Reg. 6
- Reg. 9(a)
- Reg. 12
- Reg. 9(b)
- Reg. 28
- Reg. 27
- Reg. 7(2)(e)
- Reg. 25(1)
- Reg. 5(e)
- Reg. 6A
- Reg. 6A(1)
Parties
- Unickon Securities Private Limited
Holding
The certificate of registration granted to Unickon Securities Private Limited as a stock broker and depository participant was cancelled for violating Regulation 9(a) and 9(b) of the Broker Regulations and for no longer satisfying the 'fit and proper' criteria under Schedule II of the Intermediaries Regulations.
Full text
_______________________________________________________________________________________ Order in the matter of Unickon Securities Private Limited
_______________________________________________________________________________________ Order in the matter of Unickon Securities Private Limited
_______________________________________________________________________________________ Order in the matter of Unickon Securities Private Limited
You have read the preview. Create a free account to read the full order, track this party, and analyse it in Ontology.
Free accounts include 10 searches/day with full order access.
Source: SecMarx — sebi:WTM/GM/EFD/14/2021-22. 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.