Client - Judgment Search Results

Bana Bai and ors. Vs. Commissioner, Income Tax and ors.

Court: Madhya Pradesh

Reported in: 2004ACJ526

bhawani singh c j 1 this appeal is directed against the award of motor accidents claims tribunal bhopal in claim...

Satco Securities and Financial Vs. Chairman, Securities and Exchange

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... by member brokers of recognised stock exchanges while selling shares on behalf of clients entertaining new clients etc in the said circular certain precautions which are compulsorily required to be ..... well as branch level took due and sufficient care in completing statutory formalities like client registration client broker agreement and in collection of the margin with respect to the exposure of .....

Sebi Vs. Intec Share and Stock Brokers

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

..... notice cites 6 transactions at annexure m which are client to client albm transactions in settlement number 2001010 and 2001011 it ..... was replied that there was an error in reporting client to client transactions and that they stopped doing any such transactions ..... cause notice cites 6 transactions at annexure m which are client to client albm transactions in settlement number 2001010 and 2001011 it .....

India Cements Investment Vs. Securities and Exchange Board of India

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in: (2003)42SCL563SAT

..... position in an illiquid and volatile scrip which was beyond the financial capacity of its client the client failed to meet its pay in obligation exposing the exchange settlement system at risk ..... february 1997 and the transactions referred to relate to july 1996 that it had obtained client registration form which stipulated the terms and conditions and an additional document of member constituent .....

Subhkam Securities Pvt. Ltd. Vs. Chairman, Securities and Exchange

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in: (2003)3CompLJ301SAT

..... factors which the appellant ignored 21 learned counsel submitted that the formats of client registration form client agreement etc are designed to collect relelvant material and thereby enable the ..... the appellant had not obtained two pieces of inconsequential information from the client while accepting the client registration form ignoring the fact that the appellant had carried out personal .....

Radar Securities Ltd. Vs. Securities and Exchange Board of

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in: (2003)3CompLJ259SAT

..... and sub broker regulations 1992 the stock broker regulations iii failure to obtain acknowledgements from clients on the contract notes failure to affix stamps and disclose the order receipt time on ..... the requirement thereunder is also to maintain counterfoils or duplicates of contract notes issued to clients that this statutory requirement has been complied with he submitted that in few cases the .....

Shri Madhukar Sheth Vs. Securities and Exchange Board of India

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in: (2003)4CompLJ516SAT

..... prudent man can imagine such series of transactions and excessive speculative exposure given to the client would by any standards lead to serious consequences and repercussions in the process of discovery ..... prudent man can imagines such series of transactions and excessive speculative exposure given to the client would by any standards lead to series consequences and repercussions in the process of .....

Nirmal Bang Securities Pvt. Ltd. Vs. the Chairman, Securities and

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in: (2004)49SCL421SAT

..... has not bothered to recognise the appellants position for executing the orders of the clients as the clients agents the appellants can not be held to have indulged in price manipulation that ..... sales were by other market participants 40 the submissions regarding limit orders non distinguishing of client and proprietary trades and the absence any sales at the lower circuit filter levels reiterated .....

Brown Vs. Legal Foundation of Wash.

Court: US Supreme Court

..... effective subaccounting services become available making it possible to earn net interest for clients on increasingly smaller amounts held for increasingly shorter periods of time more trust ..... iolta scheme by contrast circumvents politically accountable decisionmaking and effects a taking of clients funds through application of a rule purportedly regulating professional ethics promulgated by the .....

Sharedeal Financial Consultants Vs. Chairman, Securities and

Court: SEBI Securities and Exchange Board of India or Securities Appellate Tribunal SAT

Reported in: (2003)4CompLJ148SAT

..... to the respondent the appellant had given high exposure to its client allowed the client to take position beyond the client s financial capability traded beyond its own financial capabilities and further ..... in august 2001 it is thereby established that the broker member had allowed its aforesaid client to trade beyond his own financial capability and purchased huge quantity of shares despite .....