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2015 (7) TMI 220 - SECURITIES APPELLATE TRIBUNAL MUMBAI

2015 (7) TMI 220 - SECURITIES APPELLATE TRIBUNAL MUMBAI - TMI - Penalty under Section 15A(a) and Section 15C of the SEBI Act, 1992 - Failed to follow up or reset SEBI Complaints Redress System (SCORES) Login ID and Password - Failed to update the status of complaints in SCOREs within time - whether arguments like no investor loss and violation being not repetitive in nature have any impact on penalty amount imposed by SEBI - Held that:- The show cause notice was issued on January 21, 2013 and as .....

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ing into consideration all mitigating factors, the Adjudicating Officer of SEBI has imposed penalty of ₹ 1 lac as against the penalty of ₹ 1 crore imposable under the SEBI Act, which cannot be said to be unreasonable or excessive. - Decided against the appellants. - Appeal No. 221 of 2015 - Dated:- 9-6-2015 - J.P. Devadhar and Jog Singh, JJ. For The Appellant : Mr. Anil Khanna, Managing Director For The Respondent : Mr. Kumar Desai, Advocate with Mr. Pulkit Sukhramani, Advocate i/b T .....

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pellant has failed to follow up or reset SEBI Complaints Redress System ( SCORES for short) Login ID and Password and also failed to update the status of complaints in SCORES database within the stipulated time. 3. In the present case, since the appellant has failed to take steps for redressing the investor grievances a show cause notice was issued to the appellant on January 21, 2013 to show cause as to why penal action should not be taken against the appellant. Thereafter, by letters dated May .....

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