sebi:WTM/GM/EFD-2/78/2020-21

SEBI · SEBI · 2017-07-10 · G. Mahalingam, Whole Time Member

Reviewed by Varun Matlani, Advocate — Securities Lawyer practicing in SAT and SEBI

Facts / Headnote

Noticee restrained from onboarding new clients for a period of one month from the date of the order

Provisions invoked

s. 19
s. 12(3)

Regulations relied on

SEBI (Depositories and Participants) Regulations, 1996 — 54(5)
SEBI (Intermediaries) Regulations, 2008 — 28(2)

Parties

Purva Shareregistry (India) Pvt. Ltd.

Holding

The Whole Time Member held Purva Shareregistry (India) Pvt. Ltd. violated specimen-signature maintenance and transfer/demat processing norms and restrained it from onboarding new clients for one month from the date of the order.

Full text

__________________________________________________________________________________________ Order in the matter of Purva Shareregistry (India) Pvt. Ltd.

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Source: SecMarx — sebi:WTM/GM/EFD-2/78/2020-21. 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.