Religare Securities Limited

2 matters before the Securities Appellate Tribunal

SAT-appeal

Client's fictitious/self trades in Veritas (India) Ltd inflated LTP; broker alleged to have aided by lack of vigilance and violated conduct norms.
Appeal: Appeal No. 433 of 2014, Date of Decision 12.01.2016 before SAT Mumbai
Deficient record maintenance as broker and DP: missing introducer details in 15 registration forms, allegedly unstamped member-client agreements, improper investor complaint records.
Appeal allowed · Adjudicating Officer order dated 10 November 2010 set aside
Appeal: Appeal No. 23 of 2011 decided 16.6.2011 - allowed, impugned AO order set aside

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Source: SecMarx — Religare Securities Limited. 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.