sebi:WTM/GM/IVD/ID9/13740/2021-22
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Facts / Headnote
Warning issued to the Noticee; suspension of certificate of registration for two weeks not imposed.
Provisions invoked
- s. 4(3)
- s. 19
- s. 11(1)
- s. 74(1)
Regulations
- Reg. 13
- Reg. 4(a)
- Reg. 13(1)
- Reg. 28(1)
- Reg. 27
- Reg. 27(5)
Parties
- M/s. Harvest Deal Securities Limited
Holding
The Noticee was found to have violated Regulation 4(a) and (d) of the PFUTP Regulations, 1995 read with Section 11(1) and 11(2)(b) & (e) of the SEBI Act, 1992, and the Code of Conduct and BSE Bye-laws, but in light of the 23-year delay since the violations and the Noticee's voluntary cessation of business, the Authority issued only a warning instead of suspending the certificate of registration for two weeks as recommended.
Full text
________________________________________________________________________________________________ Order in respect of M/s. Harvest Deal Securities Limited Page 1 of 30
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Source: SecMarx — sebi:WTM/GM/IVD/ID9/13740/2021-22. 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.