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Co-Sponsors

Consent Orders

Settlement Actions

S.NO. SETTLEMENT ACTIONS NO.OF ENTITIES/ PERSONS
1.  PAID SETTLEMENT AMOUNT 15709 
2.  AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY 143 
3.  AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET 24 
4.  AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES 20 
5.  DIRECTED TO DISGORGE 17 
6.  AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER 15 
7.  AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS OR ACCESS SECURITIES MARKET DIRECTLY/INDIRECTLY IN PROPRIETARY ACCOUNT 7 
8.  AGREED VOLUNTARILY NOT TO INVEST IN LISTED SECURITIES (OTHER THAN MUTUAL FUND) 7 
9.  AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC 6 
10.  AGREED VOLUNTARILY NOT TO BE DEBARRED FROM SECURITIES MARKET AND NOT TO BE ASSOCIATED WITH ANY LISTED ENTITY OR REGISTERED INTERMEDIARY 6 
11.  AGREED VOLUNTARILY TO BE DEBARRED FROM ACTING AS A LEAD MANAGER IN ANY PUBLIC ISSUE OF DEBT SECURITIES 3 
12.  AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH BRIGHTCOM GROUP LTD. AND ITS AFFILIATES IN ANY CAPACITY INCLUDING EMPLOYMENT, CONSULTANCY OR ANY OTHER PROFESSIONAL OR BUSINESS RELATIONSHIP 3 
13.  AGREED VOLUNTARILY TO BE DEBARRED FROM ACTING AS A DISTRIBUTOR IN ANY PUBLIC ISSUE OF DEBT SECURITIES 3 
14.  AGREED VOLUNTARILY TO BE DEBARRED FROM ISSUING OF NEW SCHEMES FOR A PERIOD OF ONE YEAR 3 
15.  AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019 3 
16.  AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH BRIGHTCOM GROUP LTD. AND ITS ASSOCIATES IN ANY CAPACITY 3 
17.  REACHED SETTLEMENT (CONSENT ORDER AFTER PASSING SUCH EXAMS/COURSES, WILL COMMIT TO PRO BONO COMMUNITY SERVICE OF AT LEAST FOURTEEN DAYS OVER THE NEXT YEAR 3 
18.  AGREED VOLUNTARILY TO BE DEBARRED FROM UNDERTAKING THE BUSINESS OF INITIAL PUBLIC OFFER FINANCING 3 
19.  AGREED VOLUNTARY FOR DEBARMENT OF PROMOTERS FROM BEING PROMOTERS/DIRECTORS OF INTERMEDIARIES REGISTERED WITH SEBI 3 
20.  REACHED SETTLEMENT (CONSENT ORDER TAKE UP AND PASS SPECIFIC AND APPROPRIATE TRAINING COURSES (SPECIFIED BY SEBI AT THEIR OWN COST WITHIN NEXT SIX MONTHS 3 
21.  AGREED VOLUNTARILY TO BE RESTRAINED FROM RAISING FRESH CAPITAL FOR A PERIOD OF ONE YEAR 2 
22.  AGREED TO CANCEL 2,10,00,000 ESOPS GRANTED/VESTED AND NON-EXERCISED 2 
23.  AGREED VOLUNTARILY TO IMPLEMENT A POLICY OF ROTATION OF STATUTORY AUDITORS 2 
24.  AGREED TO CANCEL 2,22,862 ESOPS GRANTED/VESTED UPON BUT NOT EXERCISED 2 
25.  AGREED VOLUNTARILY TO BE RESTRAINED FROM ENGAGING OR ASSOCIATING WITH COMPANY IN ANY MANNER 2 
26.  AGREED VOLUNTARILY NOT TO HOLD DIRECTORSHIP IN ANY LISTED COMPANY 2 
27.  AGREED VOLUNTARILY TO UNDERTAKE TO EXTEND EXIT OFFER FOR THREE MONTHS FROM DATE OF SETTLEMENT ORDER BY ISSUANCE OF INDIVIDUAL NOTICES, UNDER SPEED POST, DIRECTLY TO THE REMAINING PUBLIC SHAREHOLDERS OF COMBINE HOLDING LTD. AT THE SAME EXIT PRICE AS WAS OFFERED IN 2019 IN RESPECT OF PUNJAB MERCANTILE & TRADERS LTD. 1 
28.  AGREED VOLUNTARILY TO BE PROHIBITED FROM ACCEPTING ANY FRESH ESOPS FROM ANY LISTED COMPANY 1 
29.  AGREED VOLUNTARILY TO UNDERTAKE TO EXTEND EXIT OFFER BY ISSUANCE OF INDIVIDUAL NOTICES, UNDER SPEED POST, DIRECTLY TO THE REMAINING PUBLIC SHAREHOLDERS OF SAHU JAIN LTD. AT THE SAME EXIT PRICE AS WAS OFFERED IN 2019 IN RESPECT OF CAMAC COMMERCIAL CO.LTD. 1 
30.  AGREED VOLUNTARILY NOT TO APPLY FOR ANY REGISTRATION WITH SEBI 1 
31.  AGREED VOLUNTARILY TO LOCK-IN OF ONE YEAR ON FIVE LAC SHARES ALLOTTED PURSUANT TO CONVERSION OF WARRANTS ALLOTTED ON PREFERENTIAL BASIS 1 
32.  AGREED VOLUNTARILY NOT TO REGISTER NEW CLIENTS FOR A PERIOD OF 45 DAYS 1 
33.  REACHED SETTLEMENT (CONSENT ORDER AGREED CLAWING BACK OF 43,310.73 UNITS ALLOTTED TO MR.DEEPAK AGRAWAL REDEEMED AND AMOUNT BE CREDITED TO SCHEMES (I.E. 38,342.684 UNITS HELD IN AXIS QUANT FUND AND 4,968.044 UNITSHELD IN AXIS VALUE FUND 1 
34.  AGREED VOLUNTARILY NOT TO ACTIVATE CERTIFICATE OF REGISTRATION AS STOCK BROKER 1 
35.  AGREED VOLUNTARILY TO MAKE AN OPEN OFFER TO SHAREHOLDERS OF ORIENT TRADELINK LTD. AND DIVINE ENTERTAINMENT LTD. 1 
36.  AGREED VOLUNTARILY TO SURRENDER THE REGISTRATION AS STOCK BROKER 1 
37.  AGREED VOLUNTARILY TO SPEND A SUM OF RS.1 CRORE ON INVESTOR EDUCATION AND AWARENESS PROGRAMME AND ON DEVELOPMENT OF METERIALS FOCUSING ON MAKING INVESTORS MORE AWARE OF THEIR RIGHTS IN CONNECTION WITH INTERNET BASED TRADING IN SECURITIES MARKET WITHIN 6 MONTHS FROM DATE OF RECEIPT OF THIS CONSENT ORDER 1 
38.  AGREED VOLUNTARILY TO UNDERTAKE TO EXTEND EXIT OFFER BY ISSUANCE OF INDIVIDUAL NOTICES, UNDER SPEED POST, DIRECTLY TO THE REMAINING PUBLIC SHAREHOLDERS OF ASHOKA VINIYOGA LTD. AT THE SAME EXIT PRICE AS WAS OFFERED IN 2019 IN RESPECT OF ARTEE VINIYOGA LTD. 1 
  TOTAL 16008 *
* Includes cases of the same entity/person having had multiple settlement actions (Thus the number of entities/persons reflecting here are greater than the total number of unique entities/persons i.e. 15720)

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