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INTERMARKET SECURITIES (PRIVATE) LIMITED versus

8, 12 and Third Schedule The change in rules violating the Inquiry Officer's financing revealed several instances where trades entered by a client due to a client later in the back office record And the client was assigned. The officer also revealed that two accounts were opened in the name of a minor company claiming that the aforementioned incidents were the result of errors and were corrected on the same day back office records so as to trade fair and proper skills. To be sure. With the care of the business in operation, it was imperative that the KATS received during business use was used for clients. Subsequent changes in the business and the allocation of them to another customer will create opportunities to circumvent any violations of the laws and regulations of the Company. Sub-rule (iv) of Rule 8 thousand imprisonment under R8 of the Registration of Brokers and Agents for Companies that failed to comply with Rules A1 and A2 of the Code of Conduct contained in Schedule III to brokers and agents (iv) Registration Rules 2001, which attracted the inquiry officer, were enforced in connection with the inquiry, in which two accounts were opened. The names of the minors, said of the company, were opened by their guardians through their guardians because the practice was legally allowed. The company said the accounts were run in the name of their guardians. But the company considered the corrective measures taken. , No punitive action was taken against the Company under R8 of the Brokers and Agents Registration Rules 2001 female advocates from Chowk Maitla lawyer