BSE : ORDER IN THE MATTER OF CAPITALAIM FINANCIAL ADVISORY PVT. LTD.

NOTICES

Notice No.		20230109-50		Notice Date		09 Jan 2023
Category		Compliance		Segment		General
Subject		ORDER IN THE MATTER OF CAPITALAIM FINANCIAL ADVISORY PVT. LTD.
Attachments		Final Order in the matter of Capitalaim Financial Advisory Pvt Ltd.pdf ;
Content

To<_o3a_p>

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All Trading Members of the Exchanges<_o3a_p>

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Sub: ORDER IN THE MATTER OF CAPITALAIM FINANCIAL ADVISORY PVT. LTD.<_o3a_p>

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In continuation to the Exchange Notice No. 20210208-31 dated February 08, 2021, on the captioned matter.<_o3a_p>

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SEBI vide its order no. WTM/ASB/WRO/WRO/22755/2022-23 dated January 09, 2023, has inter-alia issued following directions:<_o3a_p>

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• Noticees 1 and 2 shall continue to be prohibited from accessing the securities market and further be restrained from buying, selling or otherwise dealing in securities in any manner whatsoever, either directly or on behalf of any of his clients through their accounts, for a period of five years from the date of this Order. However, while calculating the period of restraint /debarment as directed above, the period of restraint /prohibition already undergone by the Noticee as per the directions contained in the Interim Order shall be set off against the period of restraint /prohibition directed above.<_o3a_p>

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• In case of failure of Noticees 1 and 2 to comply with the aforesaid directions at sub-para (b) above, the directions issued at sub-para (a) shall continue to be in force beyond the period of five years till the date of compliance with direction given in para (b) above, by the said Noticees.<_o3a_p>

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• Noticees 3, 4 and 5 shall continue to be prohibited from accessing the securities market and further be restrained from buying, selling or otherwise dealing in securities in any manner whatsoever, either directly or on behalf of any of his clients through their accounts, for a period of two years from the date of this Order. However, while calculating the period of restraint /debarment as directed above, the period of restraint /prohibition already undergone by the Noticee as per the directions contained in the Interim Order shall be set off against the period of restraint /prohibition directed above.<_o3a_p>

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• The proceedings initiated against Noticee 6 vide the Interim Order, are disposed of without any further directions.<_o3a_p>

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This Order is effective from the date of the order.<_o3a_p>

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A copy of the said Order is attached herewith and available on the SEBI websitewww.sebi.gov.in.<_o3a_p>

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Trading members are advised to take note of the same and ensure compliance.<_o3a_p>

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Jeevan Noronha Vinayak Bhalavi<_o3a_p>

Regulatory Correspondence Regulatory Correspondence <_o3a_p>

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Date: January 09, 2023