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Consent Orders

Prima Facie Reasons

S.NO. PRIMA FACIE REASONS NO.OF ORDERS PASSED NO.OF ENTITIES/ PERSONS
1.  MANIPULATED MARKET AND/OR INDULGED IN UNFAIR TRADE PRACTICES 413  12922 
2.  VIOLATED SEBI TAKEOVER CODE, 1997 409  1022 
3.  VIOLATED SEBI (SUBSTANTIAL ACQUISITION OF SHARES AND TAKEOVERS) REGULATIONS, 2011 230  510 
4.  VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 230  324 
5.  VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 144  203 
6.  VIOLATED CODE OF CONDUCT 140  128 
7.  DID NOT ADHERE TO SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 78  115 
8.  VIOLATED SEBI (PFUTP) REGULATIONS, 2003 50  106 
9.  MANIPULATED IPOS OF VARIOUS COMPANIES 63  101 
10.  VIOLATIONS SPECIFIED IN EARLIER SEBI/NSE ORDERS/CIRCULARS 63  95 
11.  VIOLATED SEBI PUBLIC ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES 26  88 
12.  VIOLATED SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 22  69 
13.  VIOLATED SEBI (MUTUAL FUNDS) REGULATIONS, 1996 27  55 
14.  VIOLATED LISTING AGREEMENT 26  49 
15.  VIOLATED SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 16  45 
16.  VIOLATED SEBI (PFUTP) REGULATIONS, 1995 9  40 
17.  EXECUTED FICTITIOUS/FRAUDULENT/STRUCTURED/UNAUTHORISED TRANSACTIONS 36  38 
18.  DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE 33  37 
19.  PROVIDED WRONG/INCOMPLETE INFORMATION TO SEBI/DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS 29  37 
20.  MISUSED/DEFAULTED IN MAINTAINING CLIENT ACCOUNTS 32  36 
21.  VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 17  35 
22.  COMMITTED IRREGULARITIES IN MAINTENANCE OF CLIENT REGISTRATION/DATABASE 29  34 
23.  INDUCED INVESTORS THROUGH FALSE/MISLEADING REPRESENTATION 18  34 
24.  VIOLATED SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS 1995 24  28 
25.  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION 18  26 
26.  VIOLATED SEBI SECURITIES CONTRACTS (REGULATIONS) RULES, 1957 14  25 
27.  VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956 17  24 
28.  VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES 11  22 
29.  FAILED TO REDRESS INVESTOR/CREDITORS COMPLAINTS 14  22 
30.  COMMITTED IRREGULARITIES IN CONTRACT NOTES 16  20 
31.  DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT 5  18 
32.  VIOLATED SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992 16  18 
33.  FAILED TO MAINTAIN PROPER BOOKS OF ACCOUNTS/RECORDS 13  17 
34.  DELAYED/FAILED TO DELIVER/TRANSFER SECURITIES 11  17 
35.  UNAUTHORISED OPERATIONS ON EXCHANGE TERMINALS 14  17 
36.  INDULGED IN UNAUTHORISED TRADING IN FUTURES & OPTIONS 20  17 
37.  VIOLATED SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATIONS, 2014 1  16 
38.  VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992 15  15 
39.  VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993 7  14 
40.  DEFAULTED/FAILED TO COLLECT MARGINS/BMC FROM CLIENTS/SUB-BROKERS 13  14 
41.  DELAYED/FAILED TO MAKE PAYMENT TO CLIENTS 12  13 
42.  VIOLATED COMPANIES ACT, 1956 2  13 
43.  VIOLATED SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 11  13 
44.  VIOLATED SEBI (STOCK EXCHANGES & CLEARING CORPORATIONS) REGULATIONS, 2018 5  13 
45.  VIOLATED SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013 6  12 
46.  ADOPTED IMPROPER ACCOUNTING PRACTICES 5  12 
47.  ALLOWED WRONG UTILIZATION OF ISSUE PROCEEDS 4  11 
48.  VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 1996 11  11 
49.  VIOLATED SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014 10  10 
50.  VIOLATED SEBI (STOCK EXCHANGES & CLEARING CORPORATIONS) REGULATIONS, 2012 1  10 
51.  VIOLATED SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996 5  7 
52.  VIOLATED SEBI ACT, 1992 7  7 
53.  VIOLATED SEBI (DELISTING) REGULATIONS, 2021 1  7 
54.  VIOLATED SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 5  6 
55.  INTRODUCED UNLISTED SHARES IN THE MARKET 2  6 
56.  INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES 6  6 
57.  DID NOT REPORT OFF-THE-FLOOR/SPOT TRANSACTIONS TO EXCHANGE 3  6 
58.  DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES, RULES, BYELAWS AND REGULATIONS OF SEBI/STOCK EXCHANGE 4  5 
59.  VIOLATED SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993 5  5 
60.  VIOLATED SEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999 4  4 
61.  VIOLATED COMPANIES ACT, 2013 2  4 
62.  VIOLATED SEBI DEPOSITORIES ACT, 1996 4  4 
63.  VIOLATED SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 4  4 
64.  VIOLATED SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993 4  3 
65.  EVADED CARRY FORWARD MARGIN/MARGIN MONEY 2  3 
66.  DEALT IN CASH WITH CLIENTS 2  3 
67.  DID NOT REFUND MONEY COLLECTED UNDER CIS 3  3 
68.  ACTED AS PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION 2  3 
69.  ACTIVATED SUB-BROKER TERMINALS BEFORE GETTING SEBI REGISTRATION 2  2 
70.  FAILED TO PAY FEES TO SEBI/EXCHANGE 1  2 
71.  INADEQUATE RESOURCES/INFRASTRUCTURE/SYSTEMS 2  2 
72.  VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018 2  2 
73.  VIOLATED SEBI (RESEARCH ANALYST) REGULATIONS, 2014 1  2 
74.  VIOLATED SEBI (STP CENTRALIZED HUB AND STP SERVICES PROVIDERS) GUIDELINES, 2004 2  2 
75.  VIOLATED SEBI REGULATION REGARDING DEMATERIALISATION/DEPOSITORY PARTICIPANTS 2  2 
76.  VIOLATION OF OPERATIONAL FRAMEWORK FOR TRANSACTIONS IN DEFAULTED DEBT SECURITIES 1  1 
77.  VIOLATED SECURITIES CONTRACTS (REGULATION) (STOCK EXCHANGES & CLEARING CORPORATION) REGULATIONS, 2018 1  1 
78.  WITHDREW LARGE AMOUNTS OF CASH AND DEPOSITED IN GROUP COMPANY 1  1 
79.  VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 2020 1  1 
80.  VIOLATED SEBI (REAL ESTATE INVESTMENT TRUSTS) REGULATIONS, 2014 1  1 
81.  VIOLATED SEBI (CUSTODIAN) REGULATIONS, 1996 1  1 
82.  VIOLATED SEBI (INFRASTRUCTURE INVESTMENT TRUSTS) REGULATIONS, 2014 1  1 
83.  VIOLATED SEBI (INTERMEDIARIES) REGULATIONS, 2008 1  1 
84.  VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009 1  1 
85.  VIOLATED BYELAWS/COMMUNIQUE/OPERATING INSTRUCTIONS OF CDSL 1  1 
86.  VIOLATED DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS 1  1 
87.  VIOLATED SEBI (BUYBACK OF SECURITIES) REGULATIONS, 1998 1  1 
88.  VIOLATED SEBI (BUY-BACK OF SECURITIES) REGULATIONS, 2018 1  1 
89.  VIOLATED SEBI (CERTIFICATION OF ASSOCIATED PERSONS IN SECURITIES MARKETS) REGULATIONS, 2007 1  1 
90.  INDULGED IN UNAUTHORISED CARRY FORWARD TRANSACTIONS 1  1 
91.  FAILED TO PAY PENALTY AMOUNT TO SEBI 1  1 
92.  FAILED TO PAY DIVIDENDS TO SHAREHOLDERS 1  1 
93.  DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY 1  1 
94.  ENGAGED IN NON-SECURITIES BUSINESS 1  1 
95.  FAILED TO ENTER INTO AGREEMENT WITH SUB-BROKERS 1  1 
96.  CHARGED EXCESS/DIFFERENT RATES OF BROKERAGE 1  1 
97.  DEALT AND INTRODUCED TAINTED/STOLEN/FABRICATED/DUPLICATE SHARES 1  1 
98.  DID NOT ADHERE TO CONDITIONS OF PROVISIONAL REGISTRATION 1  1 
99.  DEFAULTED/IRREGULARITIES IN PAY-IN OBLIGATIONS 1  1 
100.  DID NOT FILE FIRST INFORMATION REPORT IN RESPECT OF STOLEN/FAKE/FORGED SHARES 1  1 
101.  DID NOT MAINTAIN BASE MINIMUM CAPITAL 1  1 
102.  DID NOT OBTAIN PRIOR PERMISSION FROM SEBI FOR CHANGE IN FIRM'S/COMPANY'S CONSTITUTION 1  1 
  TOTAL 2540 * 16698 **
* Includes cases of multiple prima facie reasons in an order (Thus the number of orders reflecting here are greater than the total number of unique orders i.e. 1865)
** Includes cases of the same entity/person having had multiple prima facie reasons (Thus the number of entities/persons reflecting here are greater than the total number of unique entities/persons i.e. 15527)

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