SUMMONS TO FURNISH THE INFORMATION BEFORE THE INVESTIGATING AUTHORITY
[Under Section 11C(3) of the Securities and Exchange Board of India Act,1992
(Act 15 of 1992)]
Ms Hema P Patel
5, Shivam Satellite Society,
Bokadev
Ahmedabad - 380 054
WHEREAS information is required in connection with the investigation instituted by Securities and Exchange Board of India (hereinafter to be referred as ‘SEBI’) in the case of buying, selling or dealing in the shares of Genus Commutrade Limited vide its order dated August 14, 2006.
AND WHEREAS you are summoned to furnish, by February 15,2008, all the details mentioned in the enclosed Annexure before the Investigating authority named below, at the following address (your personal appearance is not required at this stage and providing information would be considered as compliance of summons):
SECURITIES AND EXCHANGE BOARD OF INDIA
SEBI Bhavan, Plot No.C4-A, G Block,
Bandra Kurla Complex, Bandra (E),
Mumbai- 400 051
Please take notice that, in default of your appearance on the above-mentioned date, investigation proceedings would be continued in your absence. Further, take notice that without prejudice to the provisions of any other law for the time being in force, if you omit to attend and give evidence or to produce the books of accounts and/or documents as required, SEBI will initiate adjudication proceedings against you under which you could be levied a penalty of one lakh rupees for each day during which such failure continues, or one crore rupees, whichever is less, as provided under section 15A of Securities and Exchange Board of India Act. Further, criminal prosecution may also be launched against you under section 11C(6) which provides for a punishment with imprisonment for a term which may extend to one year or with fine which may extend to rupees one crore, or with both, and also with a further fine which may extend to five lakh rupees for each day after the first, during which the failure or refusal continues.
GIVEN under my hand and the seal of the Board, this 06th day of February, 2008
Signature of the Investigating Officer
Name of the Investigating Officer: Barnali Mukherjee
Deputy General Manager
Seal
Annexure
1. Details of purchase and sale in the captioned scrip done by you during the period from 01.05.01 – 31.07.01 in the following format (both softcopy and hard copy):
|
Date
|
Broker/Sub Broker
|
Buy
|
Rate
(Rs.)
|
Sell
|
Rate
(Rs.)
|
Balance shares after transaction
|
|
|
|
|
|
|
|
|
Give details of off-market transactions carried out, if any, separately. Also provide your Demat statement for this scrip for the above mentioned period.
2. Copy of the Bank statements for the accounts maintained by you, highlighting transactions pertaining to dealing in the captioned scrip, during May 01,2001 – July 31,2001.
3. Whether you are related/associated with the company or its promoters/directors? If so, details of the same.
4. Confirm whether any loans or advances were given to or taken from Genus Commutrade Ltd. or their group companies. If yes, furnish the Date, Interest rate, Repayment schedule and copies of the agreement entered.
5. State the reasons for investing/trading in the captioned scrip during aforesaid period.
6. Confirm whether any of the following entities were related/associated/known to you during April 01,2001 – September 30,2001: Pareshkumar Patel, Vasant Bissa, Uday Vora, Dhiren Vora, Hasmukhlal Vora, Kirtiben R Patel, Zenet Software Ltd., Dhaval Shah, Dharmesh Patel, Genus Exports Ltd, Alfa Fincaps Ltd., Hindustan Credit Capital Ltd., Galaxy Appliances Ltd., Shri Rajesh Kumar Patel, Parklight Investments Pvt. Ltd, Harikishan Hiralal., Ventura Securities Ltd., P Suryakant shares & Stock Pvt. Ltd. & H Nayalchand Financial Services Ltd.
******
SUMMONS TO FURNISH THE INFORMATION BEFORE THE INVESTIGATING AUTHORITY
[Under Section 11C(3) of the Securities and Exchange Board of India Act,1992
(Act 15 of 1992)]
Shri Paresh R Patel
5, Shivam Satellite Society,
Bokadev
Ahmedabad - 380 054
WHEREAS information is required in connection with the investigation instituted by Securities and Exchange Board of India (hereinafter to be referred as ‘SEBI’) in the case of buying, selling or dealing in the shares of Genus Commutrade Limited vide its order dated August 14, 2006.
AND WHEREAS you are summoned to furnish, by February 15,2008, all the details mentioned in the enclosed Annexure before the Investigating authority named below, at the following address (your personal appearance is not required at this stage and providing information would be considered as compliance of summons):
SECURITIES AND EXCHANGE BOARD OF INDIA
SEBI Bhavan, Plot No.C4-A, G Block,
Bandra Kurla Complex, Bandra (E),
Mumbai- 400 051
Please take notice that, in default of your appearance on the above-mentioned date, investigation proceedings would be continued in your absence. Further, take notice that without prejudice to the provisions of any other law for the time being in force, if you omit to attend and give evidence or to produce the books of accounts and/or documents as required, SEBI will initiate adjudication proceedings against you under which you could be levied a penalty of one lakh rupees for each day during which such failure continues, or one crore rupees, whichever is less, as provided under section 15A of Securities and Exchange Board of India Act. Further, criminal prosecution may also be launched against you under section 11C(6) which provides for a punishment with imprisonment for a term which may extend to one year or with fine which may extend to rupees one crore, or with both, and also with a further fine which may extend to five lakh rupees for each day after the first, during which the failure or refusal continues.
GIVEN under my hand and the seal of the Board, this 06th day of February, 2008
Signature of the Investigating Officer
Name of the Investigating Officer: Barnali Mukherjee
Deputy General Manager
Seal
Annexure
1. Details of purchase and sale in the captioned scrip done by you during the period from 01.05.01 – 31.07.01 in the following format (both softcopy and hard copy):
|
Date
|
Broker/Sub Broker
|
Buy
|
Rate
(Rs.)
|
Sell
|
Rate
(Rs.)
|
Balance shares after transaction
|
|
|
|
|
|
|
|
|
Give details of off-market transactions carried out, if any, separately. Also provide your Demat statement for this scrip for the above mentioned period.
2. Copy of the Bank statements for the accounts maintained by you, highlighting transactions pertaining to dealing in the captioned scrip, during May 01,2001 – July 31,2001.
3. Whether you are related/associated with the company or its promoters/directors? If so, details of the same.
4. Confirm whether any loans or advances were given to or taken from Genus Commutrade Ltd. or their group companies. If yes, furnish the Date, Interest rate, Repayment schedule and copies of the agreement entered.
5. State the reasons for investing/trading in the captioned scrip during aforesaid period.
6. Confirm whether any of the following entities were related/associated/known to you during April 01,2001 – September 30,2001: Kirtiben R Patel, Hemaben P Patel, Uday Vora, Dhiren Vora, Hasmukhlal Vora, Zenet Software Ltd., V H Bissa, Dhaval Shah, Dharmesh Patel, Genus Exports Ltd, Alfa Fincaps Ltd., Hindustan Credit Capital Ltd., Galaxy Appliances Ltd., Shri Rajesh Kumar Patel, Parklight Investments Pvt. Ltd, Harikishan Hiralal., Ventura Securities Ltd., P Suryakant shares & Stock Pvt. Ltd. & H Nayalchand Financial Services Ltd.
******