Cliented - Judgment Search Results

Three Rivers District Council and Others (Respondents) Vs. Governor an ...

Court: House of Lords

..... later so it is settled that in the absence of a waiver by the client communications between clients and their lawyers for the purpose of obtaining legal advice must be kept confidential ..... communications in relation to all other confidential communications whether between doctor and patient accountant and client husband and wife parent and child priest and penitent the common law recognises the .....

Sebi Vs. Saikala Associates Pvt. Ltd.,

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

Reported in: (2005)5CompLJ1184SAT

..... it was also stated that they never acted prejudicial to the interest of the investors clients the sub broker stated that they had maintained scrupulous track record in meeting their ..... record with complete details the enquiry officer stated that the circular does not distinguish between clients with frequent trading and infrequent trading one time trading the inspection team observed that the .....

In Re: Sanjay Khemani

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

..... and this amount of off market deals would also include bad deliveries returned received from clients and brokers and returned to them after rectification from cse which otherwise to be excluded ..... broker has also been found guilty of violating sebi regulations and circulars on segregation of client money margin which are for protection of investors and also for maintaining safety and integrity .....

Sebi Vs. Drb Securities Private Limited

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

..... i note that the said broker entered into transactions without collecting margins from some clients in this regard the said broker submitted that only in exceptional circumstances where alternate ..... arrangements for covering risk were available they did not collect margin from clients they further submitted that the exceptions were based on commercial considerations and having regard .....

Sebi Vs. Dresdner Kleinwort Benson

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

..... connected with ketan parekh this synchronisation would not have been possible unless both buying client and selling client put buy order and sell order with prior understanding and with a view to ..... settlement in the exchange but dkb repeatedly executed transactions which were got matched by the clients through counter party brokers dkb argued that at the time when the transactions were executed .....

Sebi Vs. Munjal Leasing Limited

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

..... said broker has failed to maintain a clear distinction between his own account and the client account the inspection report has highlighted several instances where funds have been utilised from the ..... displays a casual approach towards compliance requirements evident from their replies attributing non segregation of client own account to a few instances accountant s error etc as also the fact that .....

In Re: Bakliwal Investment

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

..... consent letters were filed but were not produced the broker further submitted that all the clients whose accounts were adjusted with another were sister concerns the submission of the broker on ..... 5 broker had not maintained separate ledger accounts with regard to transactions with associates as clients or others the broker had submitted that a consolidated ledger of associate firms and companies .....

In Re: Vakrangee Softwares Ltd.

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

..... of the market i therefore find that patani having allowed its clients to trade in such huge quantities and having placed order at ..... exercise due care and diligence while trading on behalf of his clients 28 i find that the above mentioned transactions have resulted in ..... marking of prices i also note that these transactions by the clients were entered with an intention of artificially raising the price of .....

J. Geetha Vs. Sebi

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

..... issued to its members by the stock exchange the members shall ensure that all the clients except financial institutions foreign institutional investors mutual funds shall maintain a deposit of minimum ..... the period covered under inspection few instances of the said violation are listed below client transaction value of nct min margin marginname date open required availablecode positions056 8 4 .....

Ansuman Mullick Vs. Mallika Investment Co. (P.) Ltd. and ors.

Court: Kolkata

Reported in: AIR2004Cal316

..... retainer were discussed in the following language the relationship existing between a solicitor and his client is recognised in equity as a fiduciary one imposing on the solicitor special obligations ..... between a solicitor and a stranger would be unobjectionable may between a solicitor and his client be neither enforceable by the solicitor nor subject to considerations of delay and confirmation .....