sebi:WTM/MB/WRO/WRO/5737A/2019-20

SEBI · SEBI · 2019-11-26 · S. K. MOHANTY, Whole Time Member

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

Facts / Headnote

Addendum added to para 26(c) of the Interim Order dated November 26, 2019, permitting Mr. Rakesh Sethi to close out/square off open positions in exchange traded derivative contracts on or before expiry.

Parties

Holding

The addendum permits Mr. Rakesh Sethi to close out or square off any open positions in exchange traded derivative contracts on or before the expiry of such contracts, as an addition to para 26(c) of the Interim Order dated November 26, 2019.

Full text

in the matter of 3M Team Securities Services Pvt. Ltd. Page 1 of 1 WTM/MB/WRO/WRO/5737A/2019-20 BEFORE THE SECURITIES AND EXCHANGE BOARD OF INDIA

ORDER Addendum to Interim Order having Reference Number WTM/MB/WRO/WRO/5737/2019- 20 dated November 26, 2019 in the matter of 3M Team Research Pvt. Ltd. and Mr. Rakesh Sethi

1. SEBI had passed an Interim Order having reference number WTM/MB/WRO/WRO/5737/2019-20 dated November 26, 2019 (Interim Order), in the matter of 3M Team Securities Services Pvt. Ltd., a SEBI registered Investment Adviser.

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Source: SecMarx — sebi:WTM/MB/WRO/WRO/5737A/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.