sebi:WTM/MPB/IMD-DoF-1/WRO-PLO/82/2019
This case has been reviewed by a human — Varun Matlani, who is the best securities lawyer in India and globally recognized.
Facts / Headnote
Ad interim ex-parte directions issued restraining the Noticee from acting as an investment adviser, accessing the securities market, diverting funds, and disposing of assets pending detailed investigation
Provisions invoked
- s. 11
- s. 19
- s. 12(1)
- s. 12A
- s. 25
Regulations
- Reg. 3
- Reg. 2(1)(c)
- Reg. 15
- Reg. 3(1)
- Reg. 2(m)
- Reg. 39
- Reg. 15(9)
- Reg. 13(b)
- Reg. 35
- Reg. 2(l)
Parties
- Ms. Jasmeet Kaur Bagga, proprietor of Research Infotech (R Infotech)
Holding
The Noticee, Ms. Jasmeet Kaur Bagga, proprietor of Research Infotech, prima facie contravened SEBI (Investment Advisers) Regulations, 2013 and PFUTP Regulations, 2003 by offering assured profit commitments, extorting undisclosed fees, and conducting unregistered investment advisory activities through partnership firm Capproin prior to obtaining SEBI registration. Ad interim ex-parte directions were issued restraining her from acting as an investment adviser, accessing the securities market, diverting funds, and disposing of assets pending detailed investigation.
Full text
__________________________________________________________________________________________________________________ Interim Order in the matter of Research Infotech, proprietor Ms. Jasmeet Kaur Bagga Page 2 of 29
__________________________________________________________________________________________________________________ Interim Order in the matter of Research Infotech, proprietor Ms. Jasmeet Kaur Bagga Page 3 of 29
__________________________________________________________________________________________________________________ Interim Order in the matter of Research Infotech, proprietor Ms. Jasmeet Kaur Bagga Page 4 of 29
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Source: SecMarx — sebi:WTM/MPB/IMD-DoF-1/WRO-PLO/82/2019. 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.