sebi:WTM/GM/EFD1-DRA2/88/2019-20
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Provisions invoked
- s. 12
Regulations
- Reg. 7
- Reg. 9(e)
- Reg. 28
- Reg. 27
- Reg. 28(1)
- Reg. 25(1)
- Reg. 6
- Reg. 8(1)(f)
- Reg. 6A(e)
- Reg. 7(B)(6)
Parties
- BRH Wealth Kreators Ltd.
Holding
The order records a finding that the Noticee failed to comply with SEBI circular No. CIR/MIRSD/16/2011 dated August 22, 2011 on account opening / KYC requirements, thereby violating Clause A(5) of the Code of Conduct in Schedule II of the Broker Regulations.
Full text
______________________________________________________________________________________________ Order in the matter of BRH Wealth Kreators Ltd. Page 2 of 37
______________________________________________________________________________________________ Order in the matter of BRH Wealth Kreators Ltd. Page 3 of 37
______________________________________________________________________________________________ Order in the matter of BRH Wealth Kreators Ltd. Page 4 of 37
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/EFD1-DRA2/88/2019-20. 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.