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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 13-JUL-2024

STOCK BROKERS: VIOLATED CODE OF CONDUCT

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person OPG SECURITIES PVT.LTD.  
GAINED ADVANTAGE BY CONSISTENTLY LOGGED IN FIRST ACROSS POP SERVERS ON ACCOUNT OF BEING AWARE OF THE WEAKNESS OF THE TCP/IP TBT SYSTEM ARCHITECTURE

TRIED TO CROWD OUT OTHER TRADING MEMBERS FROM TCP/IP TBT SYSTEM PLATFORM

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATIONS 7, 17(1) READ WITH 18 OF CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF GANGOTRI TEXTILES LTD.  		SUSPENDED FROM TRADING FROM 04-SEP-2017

01-MAY-2019 		SAT: SAT VIDE ITS ORDER DATED 05/05/2019 SET ASIDED IMPUGNED ORDER DATED 04/09/2017 AND REMANDED THE MATTER TO NSE TO TAKE FRESH DECISION AFTER CONSIDERING FORENSIC REPORT OR ANY OTHER RELEVANT MATERIAL. DIRECTED NSE TO PASS FRESH ORDER WITH SIX WEEKS FROM DATE OF THIS ORDER AFTER GIVING OPPORTUNITY OF HEARING TO APPELLANT

SAT: SAT VIDE ITS ORDER DATED 12/07/2019 GRANTED FOUR WEEKS FURTHER TIME TO APPLICANT/ORIGINAL RESPONDENT NSE TO TAKE DECISION AS PER DIRECTION BY ITS ORDER DATED 01/05/2019  
2
History of entity/person VISHVAS SECURITIES LTD.  
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATIONS 7, 17(1) READ WITH 18 OF CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF GANGOTRI TEXTILES LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF, SYNCHRONIZED AND CIRCULAR TRADES IN SCRIP OF GANGOTRI TEXTILES LTD.  		SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-OCT-2016

12-OCT-2016 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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