Mr. Subbarathnam Ravi

3 matters before the Securities Appellate Tribunal

Penalties and directions recorded

SEBI may call requisite particulars and issue supplementary show cause notice if deemed necessary

SAT-appeal

Failure to establish a compliant Code of Internal Procedure and Conduct, Code of Corporate Disclosure Practices, and trading-window system under the PIT Regulations. No trading during a required closure was alleged or found.
Impugned Adjudicating Officer order dated 27 March 2017 quashed · Appeal allowed
Appeal: Appeal No. 59 of 2018 allowed and disposed of by SAT on 24 May 2019.
Alleged PIT violation for furnishing code of ethics instead of code of conduct and contradictory stand on trading window existence without producing Board minutes dated 16.12.2008.
Impugned AO order dated 26.02.2014 quashed and set aside · Matter restored to AO file for fresh order on merits in accordance with law
Appeal: Appeal No. 131 of 2014 decided on 11.02.2016 - disposed of with remand, impugned order quashed, no order as to costs
SAT matter SATV-DD8D073B70C33A865BA8696E
Appeal No. 158 of 2017 and Misc. Applications Nos. 249, 297 and 319 of 2017 allowed to be withdrawn with liberty to file fresh appeal · Appeal and misc. applications disposed with no order as to costs

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Source: SecMarx — Mr. Subbarathnam Ravi. 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.