Contract Note - Judgment Search Results

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

..... exchanges that what is highlighted therein include non maintaining of copies of contract notes and maintaining counterfoils of contract notes without adequate details that the requirement therein is that all trading members ..... the appellant is also functioning as another intermediary it has stated in its memorandum of appeal that it was holding portfolio management licence also for the period 16th .....

Sebi Vs. Nam Securites Ltd.

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

..... my findings are as under 6 1 with reference to the contract notes the contract notes did not bear pre printed serial nos but were generated ..... submitted that it had been maintaining the client broker agreement and client data base in all the cases during inspection all the ..... copies of the client broker agreement and client data base were produced since mr l s darbari .....

Oswal Agro Mills Ltd. Vs. the Custodian and ors.

Court: Mumbai

Reported in: 2004(2)ALLMR491; III(2004)BC352

..... as he may think fit that any contract or agreement entered into at any time after the 1st day of april 1991 and on and ..... transactions with notified party hpd in the absence of contract notes and supporting bills and that it was a fraudulent transaction entered into in ..... tenancy act and was therefore void taking note of the fact that the act did not prohibit the transfer of the proprietary interest .....

P. Ravinder Vs. National Stock Exchange of India Ltd.

Court: Andhra Pradesh

Reported in: [2004]121CompCas275(AP); (2004)4CompLJ201(AP); [2004]49SCL43(AP)

..... desires to enter into such a contract as principal he is required to obtain the consent or authority of the client which is required to be in writing either in the form of a note memorandum or agreement of sale these expressions note and memorandum are not defined anywhere but .....

Sebi Vs. Intec Share and Stock Brokers

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

..... failure to maintain client database failure to ensure continuous preprinted serial numbers on the issued contract notes failure to report off the floor transactions to the stock exchange failure to maintain segregation ..... the broker vide letter dated 11 06 2003 submitted that they had always entered into agreements with the clients it is clear from the enquiry report that there are deficiencies in .....

Mithani Investment (Through Its Vs. the Securities and Exchange Board ...

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

Reported in: (2003)44SCL408SAT

..... regarding his role are discussed below entering into grey market transactions and issuing contract notes bills being an unregistered stock broker investigations revealed that the following purchases of ..... regarding his role are discussed below entering into grey market transactions and issuing contract notes bills being an unregistered stock broker investigations revealed that the following purchases .....

Sebi Vs. Shrikant G. Mantri

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

..... clandestine arrangement with nbl whereby the broker would issue bogus contract notes only for the purpose of accommodation and not for the purpose ..... been entered through the exchange the reason for issuing such contract notes seems to be accommodating nbl to hide its losses nbl had ..... found to have not obtained a client registration form and agreement duly filled in by nbl while taking them as their clients .....

Sebi Vs. First Custodian Fund (India) Ltd.

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

..... explained above 4 11 investigations revealed that the above referred transactions were bogus transactions the contract notes did not have the time of transaction and also the same were not entered through ..... with respect to the allegation of having not obtained a client registration form and the agreement from nbl in violation of sebi circular no smd policy circular 5 97 dated april .....

Balkrishna C. Parsana Vs. the Securities and Exchange Board of India

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

Reported in: (2003)4CompLJ550SAT

..... the submission of the appellant that the sauda book and the contract notes were in illegal possession of someone who was assisting him in the ..... the fact that the appellant did not produce sauda book and contract notes for inspection till 2 12 2002 remains undisputed he is stated to ..... decide the matter based on the submissions made in the appeal memorandum and in the said letter on 1 7 2003 when the matter .....

Shri D.A. Gadgil Vs. Securities and Exchange Board of India

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

Reported in: (2003)48SCL480SAT

..... 1998 which was confirmed by you we deny that the contract note issued to you clearly amounts to breach of trust committed by us as ..... that transaction has taken place at rs 85 when the contract note is dated june 24 1998 and when the market price was rs 62 ..... and seller had accepted that the transactions as recorded in the contract note as correct in all respects if the appellant s contention that .....