Globalworth Securities Limited

SAT-appeal

• SAT matter SATV-68665D16F8A86BB810417879
  Three weeks time allowed to appellant to file rejoinder · Matter listed on December 20, 2022
  Appeal: Appeal No. 554 of 2022 with Misc. Application No. 1444 of 2022 pending; rejoinder allowed, listed on December 20, 2022
• Whether SEBI can issue fresh adjudication notice for same investigation period under another Regulation after settlement order passed
  Further proceedings before the Adjudicating Officer shall remain stayed · Respondent to file reply; appellant may file rejoinder thereafter
  Appeal: Appeal No. 554 of 2022 by Globalworth Securities Ltd pending; AO proceedings stayed on 16.09.2022; next date 25.11.2022
• Failure to put system/alerts to detect and curb reversal of proprietary trades and lack of care/diligence, violating Broker Code of Conduct; distinct from settled PFUTP reversal trades.
  Appeal dismissed with no order as to costs · Misc. Application No. 1444 of 2022 disposed of
  Appeal: Appeal No. 554 of 2022 with Misc. Application No. 1444 of 2022 decided on 20.12.2022 - appeal dismissed