WARNING TO BROKER
 
Secondary Market Department

The Securities and Exchange Board of India (SEBI) has warned M/s DPA CAPITAL (P) LTD., member of Delhi Stock Exchange (SEBI Reg. No INB 050085318) for irregularities in issuance of contract note, not maintaining clear segregation between clients funds and own funds, not maintaining proper Document register, dealing with un-registered sub-broker, not entering into agreement with the clients and dealing as un-registered sub-broker. 
 
The warning has been served in terms of Sub-Regulation (3) of Regulation 29 of SEBI (Stock Brokers and Sub-Brokers) Rules & Regulations, 1992.