Mr. Manish Lalwani

4 matters before the Securities Appellate Tribunal

SAT-appeal

SAT matter SATV-7383155D3EFE3404B54B2281
Adjourned on request of the appellants · List on April 13, 2023
Appeal: Appeal No. 309 of 2023 and Appeal No. 310 of 2023 adjourned on 30.03.2023; next listed on April 13, 2023
SAT matter SATV-803BB1EA68739853F9FFDC4B
Adjourned on request of appellants, list on April 13, 2023 · Parties to act on digitally signed copy; certified copy available from Registry on payment of usual charges
Appeal: Appeal Nos. 309 of 2023 and 310 of 2023 adjourned, next date April 13, 2023
Carrying on Investment Advisory Services without obtaining certificate of registration under Regulation 3 of SEBI (Investment Advisers) Regulations, 2013.
Appeal dismissed; WTM finding of unregistered investment advisory upheld · WTM to reconsider quantum of refund on fresh evidence
Appeal: Appeal No. 310 of 2023 against WTM order dated 18 January 2023 dismissed on 13 April 2023 with limited remand on refund quantum
Carrying on Investment Advisory Services without obtaining certificate of registration under Regulation 3 of IA Regulations, 2013
Appeal dismissed holding appellant engaged in investment advisory without registration · WTM directed to reconsider quantum of refund to be made by appellant
Appeal: Appeal No. 309 of 2023 against WTM order dated 18 January 2023 dismissed on 13 April 2023 with refund quantum remanded

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Source: SecMarx — Mr. Manish Lalwani. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (charges, outcomes, appeal chain) is cited to us.