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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: VIOLATED SEBI ACT, 1992

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person KARVY STOCK BROKING LTD.  
  DID NOT ADHERE TO REGULATION 27 OF SEBI INTERMEDIARIES REGULATIONS AND SECTION 12(3) OF SEBI ACT, 1992  SUSPENDED FROM MEMBERSHIP FROM 30-NOV-2022

01-DEC-2022
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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