sebi:WTM/MB/WRO/WRO/6041/2019-20
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Facts / Headnote
Ad interim ex parte order restraining the Noticee and its proprietor from undertaking investment advisory activities, directing cease and desist, asset inventory disclosure, and freezing of assets and securities pending detailed examination
Provisions invoked
- s. 19
- s. 12A
Regulations
- Reg. 3
- Reg. 2(1)(c)
- Reg. 4(1)
- Reg. 16
- Reg. 17
- Reg. 4(2)
- Reg. 15
- Reg. 15(1)
- Reg. 2(m)
- Reg. 35
- Reg. 2(l)
Parties
- M/s. Trade India Research (Proprietor: Ms. Neha Gupta)
Holding
The Noticee, M/s. Trade India Research, prima facie contravened Regulations 15(1), 15(9) and 16 of the IA Regulations and Clauses 1, 2, 4, 5, 6 and 8 of the Code of Conduct, and its conduct prima facie constitutes fraud under Regulation 2(1)(c) of the PFUTP Regulations and Section 12A of the SEBI Act. Pending detailed examination, an ad interim ex parte order was passed restraining the Noticee from investment advisory activities and freezing its assets.
Full text
__________________________________________________________________________________________________________________ Interim Order in the matter of M/s. Trade India Research (Proprietor: Ms. Neha Gupta) Page 2 of 35
__________________________________________________________________________________________________________________ Interim Order in the matter of M/s. Trade India Research (Proprietor: Ms. Neha Gupta) Page 3 of 35
__________________________________________________________________________________________________________________ Interim Order in the matter of M/s. Trade India Research (Proprietor: Ms. Neha Gupta) Page 4 of 35
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Source: SecMarx — sebi:WTM/MB/WRO/WRO/6041/2019-20. 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.