Expulsion against the appellant, from the membership of the ...

Case Laws SEBI

December 2, 2020

Expulsion against the appellant, from the membership of the National Stock Exchange of India Limited - Schedule II of the SEBI (Stock Brokers and Sub Brokers) Regulations, 1992 prescribes a “Code of Conduct” for the stock brokers and clause 5 thereof specifies that compliance with statutory requirements is a mandatory aspect of code of conduct of a stock broker. The appellant consistently failed to comply with the requirements and acted in a manner which was prejudicial to the sanctity of a Member Exchange relationship. - SC

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Expulsion against the appellant, from the membership of the ...

Case Laws SEBI

December 2, 2020

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