sebi:WTM/TCN/33/IVD/06/2007

SEBI · SEBI · 2004-10-14 · Dr. T.C. Nair, Whole Time Member

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Facts / Headnote

Noticee found guilty; certificate of registration suspended for two months effective on expiry of 21 days from date of order

Regulations

Parties

Holding

Nokia Finance International Pvt. Ltd. aided and abetted manipulation in the scrip of Sword & Shield Pharma Ltd. in violation of Regulation 4(a)-(d) of PFUTP Regulations, 1995 and Clauses A(2), A(3) and A(4) of the Stock Brokers Code of Conduct, and its certificate of registration (INB021117735) is suspended for two months.

Full text

Home » Enforcement » Orders » Orders of Chairman/Members Enforcement Enforcement▼ Order in the matter of Nokia Finance International Pvt. Ltd In the scrip of Sword & Shield Pharma Limited 24/10/2025, 17:15 about:blank about:blank 1/5

International Pvt. Ltd., Member of Ahmedabad Stock Exchange, INB021117735 in the scrip of Sword & Shield Pharma Ltd. 1.0

Regulations”) and Regulations 4(a), (b), (c) and (d) of SEBI (Prohibition of Fraudulent and Unfair Trade Practices), 1995 (hereinafter referred to as “PFUTP Regulations”). 2.0 Enquiry Proceedings 2.1 On the basis of findings of investigation, an Enquiry Officer was appointed by SEBI vide order dated October 14, 2004 to enquire into the alleged violations / contraventions committed by Nokia. In terms of Regulation 6(1) of the SEBI (Procedure for Holding Enquiry by Enquiry Officer and Imposing Penalty) Regulations, 2002 (hereinafter referred to as “Enquiry Regulations”) a show cause notice was issued to Nokia vide letter dated March 16, 2005 communicating the

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Source: SecMarx — sebi:WTM/TCN/33/IVD/06/2007. 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.