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December 01, 2006
PR No. 268/2006
Order against M/s. Harikrishna Stocks Pvt. Ltd. in the matter of
M/s. Home Trade Ltd.
Shri G.Anantharaman, Whole Time Member, SEBI has passed an order on November 30, 2006 suspending certificate of registration of M/s. Harikrishna Stocks Pvt. Ltd., Member, Bangalore Stock Exchange Ltd., SEBI Registration No. INB 081077431 for a period of fifteen days in the matter of M/s. Home Trade Ltd.
The penalty is imposed on the broker for irregularities in complying with the Know Your Client norms, not maintaining counterfoils of the contract notes and not exercising due skill and care and diligence while trading on behalf of the client in the shares of M/s. Home Trade Ltd. The certificate of registration of M/s. Harikrishna Stocks Pvt. Ltd., will be suspended from December 21, 2006 till January 04, 2007.
Mumbai
December 01, 2006 |
