Client - Judgment Search Results

In Re: Ubs Securities Asia Ltd.

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

Reported in: (2005)5CompLJ28SAT

..... had sought from ubs copies of kycs know your client and client agreements with caxton international ltd discovery capital and ..... of investigations sebi sought copies of kycs know your client and client agreements with caxton international ltd discovery capital and indea ..... and procedures to ensure that it s know your client requirements meet or exceed international regulatory requirements and industry .....

Ubs Securities Asia Ltd. Vs. Securities and Exchange Board of India

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

Reported in: (2005)6CompLJ64SAT

..... was not forthcoming due to non cooperation of the appellant the respondent sought the client agreement from caxton international limited from the securities exchange commission usa which furnished the ..... information for may 2004 september 27 2004 respondent requests further trading information of one client september 30 2004 appellant provides information requested on september 27 2004 october 1 2004 .....

Sebi Vs. Cholamandalam Securities Ltd.

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

..... purchase of shares by shri b jayaprakash b cholamandalam accepted shri b jayaprakash as a client without proper verification about his employer c cholamandalam executed orders on behalf of shri jayaprakash ..... by registered intermediary during investigation a full fledged enquiry is conducted against them against the clients proceedings under 11b or 11 4 of sebi act 1992 are initiated pursuant to .....

Sebi Vs. Jagannath Vinod Kumar,

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

..... assess their financial capabilities and networth while failing to exercise due diligence in admitting the clients the enquiry officer recommended a minor penalty of suspension of certificate of registration for ..... with intention to create artificial volumes in the scrip of htl by relatively new clients 3 3 the broker had furnished following documents during the enquiry proceedings a statements .....

In Re: Mega Corporation Ltd.

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

..... npadapanvel navi mumbai promoter related entity crayon advertising and then transferred 10 lakh shares to client india bulls mentioned at sr 1 ajit suryavanshi through off market deals india bulls ..... around the same period large quantities of shares were also transferred to these apparently interconnected clients by the entities connected to the company by entering into such a large quantity .....

Sebi Vs. AmIn Mulani

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

..... the price of the scrip of htl and failed to maintain records such as client registration and client introduction forms the said violations constitute violations of the broker regulations the code of ..... that the trading system was computerized and that they acted merely upon instructions of their clients i find the explanations and submissions of the said broker not satisfactory besides skirting the .....

Sebi Vs. Korp Securities Ltd.

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

..... there existed no system of settlement wise payment to the client client account was maintained on a running account basis it was ..... team also found transfer of money from settlement account to client account during the course of inspection several instances were noted ..... satisfactory the finding of inspection record shows that no unique client code was maintained by ksl a perusal of the agreement .....

Sebi Vs. Swagath Securities Pvt Ltd.

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

..... the broker that he executed trades on behalf of following clients viz client gross buy of the total buy to the total buy ..... and networth while failing to exercise due diligence in admitting the clients the enquiry officer recommended a minor penalty of suspension of ..... norms due diligence verification of financial capabilities and net worth of clients and a host of other reality checks meant to impart .....

Sebi Vs. Icds Securities Ltd.

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

..... rahul modi it was not disputed that all these clients were outstation clients mumbai and they started trading only in the scrip ..... erroneously c securities were not handed over to the clients as the clients were stationed outside bangalore and they were kept at ..... had acted diligently before executing series of transactions for his clients any prudent broker would have ascertained the credentials and .....

Sebi Vs. Dagliya Consultants Pvt. Ltd.

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

..... financial capabilities and networth while failing to exercise due diligence in admitting the clients the enquiry officer recommended a minor penalty of suspension of certificate of registration ..... suggest that the broker had acted diligently before executing series of transactions for his clients any prudent broker would have ascertained the credentials and antecedents including the circumstances .....