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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: DID NOT MAINTAIN NET WORTH REQUIREMENT

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person AASTHA AGENCIES  
  DID NOT ADHERE TO MEMBERSHIP CRITERIA OF SEBI/EXCHANGE

DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI

DID NOT MAINTAIN NET WORTH REQUIREMENT  		EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-JUN-2014

26-JUN-2014 		MCX VIDE ITS ORDER DATED 09/12/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EXPULSION ORDER DATED 26/06/2014. FURTHER, ADVISED AASTHA AGENCIES TO INCREASE ITS NETWORTH TO THE PRESCRIBED LIMIT WITHIN 30 DAYS OF THE RECEIPT OF THIS ORDER AND SUBMIT NET WORTH CERTIFICATE
2 
History of entity/person JAIN BROKING PVT.LTD.  
  DID NOT ADHERE TO REQUIREMENTS LAID DOWN BY SEBI/EXCHANGE

DID NOT ADHERE TO VARIOUS RULES/REGULATIONS/BYE-LAWS OF THE EXCHANGE/SEBI

DID NOT MAINTAIN NET WORTH REQUIREMENT  		EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-JUN-2014

26-JUN-2014 		MCX VIDE ITS ORDER DATED 09/12/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EXPULSION ORDER DATED 26/06/2014. FURTHER, ADVISED JAIN BROKING TO INCREASE ITS NETWORTH TO THE PRESCRIBED LIMIT WITHIN 30 DAYS OF THE RECEIPT OF THIS ORDER AND SUBMIT NET WORTH CERTIFICATE
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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