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Co-Sponsors

SOURCE OF INFORMATION : MSEI
PERIOD COVERED : 20-MAY-2010 TO 25-JUL-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.

STOCK BROKERS: DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT’S FUNDS & OWN FUNDS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person MAUZAMPURIA SECURITIES BROKING PVT.LTD.  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT’S FUNDS & OWN FUNDS  PENALTY IMPOSED RS.10,000

16-JUL-2013
2 
History of entity/person MICRO FOREX EQUITY & DERIVATIVES PVT.LTD.  
  SUBMITTED WRONG/FALSE REPORTING OF CLIENT MARGIN COLLECTION

DID NOT SETTLE CLIENT ACCOUNTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT’S FUNDS & OWN FUNDS

DID NOT ADHERE TO SETTLEMENT CRITERIA

DID NOT MAINTAIN CLIENTS’ LEDGERS PROPERLY

DID NOT MAINTAIN BANK BOOKS PROPERLY

DID NOT SUBMIT OR SUBMITTED INCOMPLETE DOCUMENTS

ISSUED CONTRACT NOTES WITH FORMAT RELATED DISCREPANCIES

DID NOT INTIMATE DEDICATED EMAIL ID FOR CORRESPONDENCE BETWEEN MEMBER & EXCHANGE IN RELATION TO INVESTOR GRIEVANCE

DELAYED IN INTIMATING DETAILS OF DESIGNATED DIRECTOR TO FINANCIAL INTELLIGENCE UNIT (FIU)

DID NOT UPLOAD “KNOW YOUR CLIENT” DOCUMENTS TO KRA

DISCREPANCIES IN CLIENT REGISTRATION DOCUMENTS

DID NOT MAINTAIN ORDER BOOK  		PENALTY IMPOSED RS.45,90,761

SUSPENDED FROM MEMBERSHIP FROM 16-NOV-2015 TO 16-NOV-2015

18-AUG-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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