Section 6 and 22 members of the Stock Exchange (Inspection Books and Records) Rules, 2001, 3 and 4 books must maintain the company's violation regarding the inspection and record maintained net capital balance, obtaining payment from the payment delay. And their separation effect has led to several preliminary violations related to the client's assets in the inspection report regarding net capital balances, receiving late payment charges and separating client assets, the company said in a non-judicial stamp. Acknowledged his negligence in connection with the acquisition of the client's mandate. Papers and assurances that in the future this requirement would comply with the Company's justification regarding net capital balance was not enforceable. The Company violated the client's trade with its proprietary account, keeping in view the securities of the client. Was accepted. Receiving his house account, suicide account maintenance and late payment charges from his clients was fined Rs 500,000. The direction of the company, affecting the company, is to (i) cease receiving clients late payment charges. That (ii) stop trading for clients through its proprietary account. (iii) properly maintain a suicide attack; that (iv) deal with book registration securities in accordance with the regulatory framework. That (v) transfer the ownership of the Investors from the Securities House account to the relevant Investor Accounts and (vi) regulate its own net capital balance reg as per the requirements of the Third Schedule of Securities and Exchange Rules, Third Third 1971 Third Create. ; (Vii) the future ordinance of the Commission, Qu
Related judgments — Securities and Exchange Commission of Pakistan, 2015
