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SOURCE OF INFORMATION : FORWARD MARKETS COMMISSION WEBSITE
PERIOD COVERED : 23-JUL-2011 TO 21-NOV-2024

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: DID NOT SUBMIT EVIDENCE THAT BOARD MEETING EVER TOOK PLACE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person COMMEX TECHNOLOGIES LTD.  
  IRREGULARITIES IN MAINTENANCE OF BANK ACCOUNT OPERATION

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT UPDATE WITH LATEST SETTLEMENT GURANTEE FUND (SGF) POSITION ON UCX WEBSITE

DID NOT SUBMIT EVIDENCE THAT BOARD MEETING EVER TOOK PLACE  		DECLARED AS NOT A ‘FIT AND PROPER PERSON’ TO CONTINUE TO BE A SHAREHOLDER FROM 22-SEP-2015

DIRECTED NOT TO HOLD ANY SHARES NEITHER INDIVIDUALLY NOR ANY COMPANY/ ENTITY CONTROLLED, EITHER DIRECTLY OR INDIRECTLY, IN ANY ASSOCIATION / EXCHANGE RECOGNISED BY GOVT. OR REGISTERED BY FMC FROM 22-SEP-2015

22-SEP-2015 		 
2
History of entity/person SKYLINE CAPITAL PVT.LTD.  
  IRREGULARITIES IN MAINTENANCE OF BANK ACCOUNT OPERATION

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT UPDATE WITH LATEST SETTLEMENT GURANTEE FUND (SGF) POSITION ON UCX WEBSITE

DID NOT SUBMIT EVIDENCE THAT BOARD MEETING EVER TOOK PLACE  		DECLARED AS NOT A ‘FIT AND PROPER PERSON’ TO CONTINUE TO BE A SHAREHOLDER FROM 22-SEP-2015

DIRECTED NOT TO HOLD ANY SHARES NEITHER INDIVIDUALLY NOR ANY COMPANY/ ENTITY CONTROLLED, EITHER DIRECTLY OR INDIRECTLY, IN ANY ASSOCIATION / EXCHANGE RECOGNISED BY GOVT. OR REGISTERED BY FMC FROM 22-SEP-2015

22-SEP-2015 		 
3
History of entity/person UNIVERSAL COMMODITY EXCHANGE LTD.  
History of entity/person KETAN SHETH
PRAVEEN PILLAI
  		IRREGULARITIES IN MAINTENANCE OF BANK ACCOUNT OPERATION

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT UPDATE WITH LATEST SETTLEMENT GURANTEE FUND (SGF) POSITION ON UCX WEBSITE

DID NOT SUBMIT EVIDENCE THAT BOARD MEETING EVER TOOK PLACE  		DECLARED AS NOT A ‘FIT AND PROPER PERSON’ TO CONTINUE TO BE A SHAREHOLDER FROM 22-SEP-2015

DIRECTED NOT TO HOLD ANY SHARES NEITHER INDIVIDUALLY NOR ANY COMPANY/ ENTITY CONTROLLED, EITHER DIRECTLY OR INDIRECTLY, IN ANY ASSOCIATION / EXCHANGE RECOGNISED BY GOVT. OR REGISTERED BY FMC FROM 22-SEP-2015

DECLARED AS NOT A 'FIT AND PROPER’ PERSON TO HOLD ANY POSITION IN MANAGEMENT AND BOARD OF ANY EXCHANGE RECOGNISED OR REGISTERED BY GOI / FMC UNDER FCRA, 1952

22-SEP-2015 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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