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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: USED CLIENT MONEY FOR OWN USE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person AANYA COMMODITIES PVT.LTD.  
  USED CLIENT MONEY FOR OWN USE

MISUSED CLIENT FUNDS AND ACCEPTED LARGE AMOUNTS OF CASH FROM CLIENTS

UNAUTHORIZED TRANSFER OF FUNDS FROM ONE CLIENT ACCOUNT TO ANOTHER

TRANSFERRED PROFITS FROM ONE CLIENT'S ACCOUNT TO MULTIPLE CLIENT'S ACCOUNTS

UTILIZED MEMBER'S MARGIN FOR FUNDING OF CLIENT MARGIN

TRANSFERRED PROFIT FROM ONE PARTICULAR ACCOUNT TO VARIOUS ACCOUNTS

TRADED FOR CLIENT WHO WAS NOT A REGISTERED CLIENT AT THE EXCHANGE LEVEL

CARRIED ON UNAUTHORIZED PORTFOLIO MANAGEMENT SERVICES

DID NOT MAINTAIN NET WORTH AS PRESCRIBED BY THE EXCHANGE FOR A MEMBER

SHARED BROKERAGE WITH A PERSON WHO WAS NOT AN APPROVED USER

TRANSFERRED SHARES OF WHOLLY OWNED SUBSIDIARY OF THE MEMBER TO OTHER ENTITY IN WHICH BOTH THE DIRECTORS OF PARENT COMPANY WERE DIRECTORS

DEALT WITH UNREGISTERED INTERMEDIARIES

INVOLVED IN ACTIVITIES LIKE CHEQUE DISCOUNTING AND CASH THROUGH 'HAWALA' OPERATORS

TRANSFERRED TRADES FROM ONE CLIENT TO ANOTHER CLIENTS IN THE BACK OFFICE WITHOUT EFFECTING THOSE CHANGES ON THE EXCHANGE PLATFORM  		EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-JUN-2014

26-JUN-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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