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Co-Sponsors

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

STOCK BROKERS: DID NOT SUBMIT NET WORTH CERTIFICATES TO EXCHANGE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person AIMCO FINEX LTD.  
  DID NOT CO-OPERATE WITH INSPECTION AUTHORITIES

DID NOT SUBMIT ANNUAL ACCOUNTS

DID NOT SUBMIT NET WORTH CERTIFICATES TO EXCHANGE

DID NOT SUBMIT INFORMATION OF CHANGE IN DIRECTORS AND THEIR CONTACT DETAILS  		SUSPENDED FROM MEMBERSHIP FROM 18-MAY-2015

18-AUG-2015
2 
History of entity/person CAMELLIA SECURITIES LTD.  
  DID NOT CO-OPERATE WITH INSPECTION AUTHORITIES

DID NOT SUBMIT ANNUAL ACCOUNTS

DID NOT SUBMIT NET WORTH CERTIFICATES TO EXCHANGE

DID NOT PRODUCE REQUIRED DOCUMENTS TO INSPECTION AUTHORITY  		SUSPENDED FROM MEMBERSHIP FROM 22-MAY-2016

22-MAY-2016
3 
History of entity/person MAA PADMAWATI SHARE & STOCK BROKING PVT.LTD.  
  DID NOT CO-OPERATE WITH INSPECTION AUTHORITIES

DID NOT SUBMIT ANNUAL ACCOUNTS

DID NOT SUBMIT NET WORTH CERTIFICATES TO EXCHANGE

DID NOT PRODUCE REQUIRED DOCUMENTS TO INSPECTION AUTHORITY  		SUSPENDED FROM MEMBERSHIP FROM 22-MAY-2016

22-MAY-2016
4 
History of entity/person R S FINANCIAL SERVICES  
  DID NOT CO-OPERATE WITH INSPECTION AUTHORITIES

DID NOT SUBMIT ANNUAL ACCOUNTS

DID NOT SUBMIT NET WORTH CERTIFICATES TO EXCHANGE

DID NOT PRODUCE REQUIRED DOCUMENTS TO INSPECTION AUTHORITY  		SUSPENDED FROM MEMBERSHIP FROM 22-MAY-2016

22-MAY-2016
5 
History of entity/person SAARC NET LTD.  
  ENGAGED IN BUSINESS OTHER THAN SECURITIES IN VIOLATION OF SECURITIES CONTRACT (REGULATION) RULES, 1957

DILUTED PROMOTER’S SHAREHOLDING WITHOUT PRIOR APPROVAL OF THE EXCHANGE

CHANGED DESIGNATED DIRECTORS WITHOUT PRIOR APPROVAL OF THE EXCHANGE

DID NOT INFORM EXCHANGE REGARDING CHANGE IN REGISTERED OFFICE & COMMUNICATION OFFICE

DID NOT APPOINT PRINCIPAL OFFICER AS REQUIRED BY AML DIRECTIVES/INSTRUCTIONS/GUIDELINES

DID NOT SUBMIT NET WORTH CERTIFICATES TO EXCHANGE  		EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 31-MAR-2014

31-MAR-2014
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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