sebi:WTM/PS/30/IVD/ID-04/DEC/09
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Facts / Headnote
Warning issued to noticee to be careful and cautious and to comply with statutory provisions; enquiry proceedings disposed without suspension
Provisions invoked
- s. 19
Regulations
- Reg. 7
- Reg. 5(1)
- Reg. 13
- Reg. 28(2)
- Reg. 27
- Reg. 28(1)
- Reg. 38(2)
Parties
- Integrated Master Securities Pvt. Ltd.
Holding
The noticee was found guilty of acting for unregistered sub-broker Parmatma Investments Pvt. Ltd. on NSE in violation of Regulation 7 read with Clause A(5) of Schedule II of the Broker Regulations, but the recommended one-week suspension was not imposed and the noticee was only warned.
Full text
Page 2 of 5 October 10, 2000 was Rs.153.15. On BSE, the scrip touched a high of Rs.170 on October 05, 2000 and a low of Rs.135.05 on September 25, 2000. The volumes traded in the scrip on BSE touched a high of 1,741 shares on September 29, 2000 and a low of 116 shares on August 30, 2000.
Page 3 of 5 noticee for violating the provisions of Regulation 7 read with Clause A (5) of the Code of Conduct specified under Schedule II of the Broker Regulations.
Page 4 of 5 7. I have carefully considered the Enquiry Report, the SCN issued to the noticee, reply dated August 19, 2009 and written submissions dated November 19,
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Source: SecMarx — sebi:WTM/PS/30/IVD/ID-04/DEC/09. 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.