sebi:WTM/GM/EFD-2/42/2020-21
Facts / Headnote
Restrained from onboarding new clients for a period of 3 months from the date of the order
Provisions invoked
- s. 19
- s. 108
- s. 12(3)
Regulations relied on
- SEBI (Certification of Associated Persons) Regulations, 2007 — 3
- SEBI (Intermediaries) Regulations, 2008 — 28(2)
Parties
- Adroit Corporate Services Pvt. Ltd.
Holding
SEBI restrained Adroit Corporate Services Pvt. Ltd. (INR000002227) from onboarding new clients for 3 months for failing to maintain specimen signatures and for processing demat, transfer and duplicate-share requests without verification in violation of the RTA Regulations and circulars.
Full text
WTM/GM/EFD-2/42/2020-21 SECURITIES AND EXCHANGE BOARD OF INDIA ORDER Under Section 12(3) of SEBI Act, 1992 read with Regulation 28(2) of SEBI (Intermediaries) Regulations, 2008. NOTICEE SEBI REGISTRATION NO Adroit Corporate Services Pvt. Ltd. INR000002227
appointed a Designated Authority ("DA") vide order dated June 20, 2018 to enquire into alleged violations of the Noticee.
4. Above 20- less than 30 9 5. Above 30- less than 40 5 6. Above 40- less than 50 0 7. Above 50- less than 60 2 8. Above 60- less than 70 4 9. Above 70- less than 80 5
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Source: SecMarx — sebi:WTM/GM/EFD-2/42/2020-21. 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.