S. No.
DATE OF ORDER
ENTITY
PERSON
COMPETENT AUTHORITY
REGULATORY CHARGES
REGULATORY ACTION(S) / DATE OF ORDER
FURTHER DEVELOPMENTS
821
03-APR-2014
NIRMAL BANG SECURITIES PVT.LTD.
MSEI
DID NOT PAY LEDGER BALANCE
CLAIM ADMITTED AWARD AMOUNT: RS.1,20,000 03-APR-2014
822
31-MAR-2014
PRIME BROKING CO.(INDIA) LTD.
MSEI
EXPELLED BY NATIONAL STOCK EXCHANGE
EXPELLED FROM MEMBERSHIP OF CAPITAL MARKET AND FUTURES & OPTIONS SEGMENTS OF MCX-SX FROM 07-MAR-2014 31-MAR-2014
823
31-MAR-2014
SAARC NET LTD.
(Old Name : CURARE INDUSTRIES LTD.) (Old Name : CURARE LABS LTD.)
MSEI
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
824
10-AUG-2013
GLOBE CAPITAL MARKET LTD.
(Old Name : GLOBE MERCHANTS LTD.)
MSEI
DID NOT PAY LEDGER BALANCE
CLAIM ADMITTED AWARD AMOUNT: RS.6,41,774 10-AUG-2013
MSEI VIDE ITS ARBITRATION AWARD DATED 21/02/2014 REJECTED THE APPEAL.NO COSTS
MSEI VIDE ITS ARBITRATION AWARD DATED 06/09/2013 DIRECTED RESPONDENT TO PAY RS.2,38,956.44 IN ADDITION TO RS.4,02,817.43 AS PER ORIGINAL AWARD DATED 10/08/2013 ALONGWITH INTEREST @ 12% P.A. FROM DATE OF ORIGINAL APPLICATION TILL REALISATION. NO COSTS
825
16-JUL-2013
MAUZAMPURIA SECURITIES BROKING PVT.LTD.
MSEI
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT’S FUNDS & OWN FUNDS
PENALTY IMPOSED RS.10,000 16-JUL-2013
826
20-MAY-2013
CREDO SECURITIES PVT.LTD.
MSEI
REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION
PENALTY IMPOSED RS.14,311 20-MAY-2013
827
07-MAY-2013
MUDRA BULLIONS PVT.LTD.
MSEI
REGISTRATION CERTIFICATE CANCELLED BY SEBI
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 01-MAY-2013 07-MAY-2013
828
21-MAR-2013
COMPOSITE SECURITIES LTD.
MSEI
TRANSFERRED TRADES TO ITS OWN ‘ERROR’ ACCOUNT IN BACK-OFFICE AFTER TRADING HOURS
PENALTY IMPOSED RS.59,360 21-MAR-2013
829
12-JAN-2013
ANGEL BROKING PVT.LTD.
(New Name : ANGEL ONE LTD.)
MSEI
DID NOT PAY LEDGER BALANCE
CLAIM ADMITTED AWARD AMOUNT: RS.34,482 12-JAN-2013
MSEI VIDE ITS ARBITRATION AWARD DATED 28/05/2013 UPHELD AND DISMISSED IMPUGNED AWARD DATED 12/01/2013 PASSED BY SOLE ARBIRATOR
830
10-JAN-2013
RELIGARE SECURITIES LTD.
(Old Name : FORTIS SECURITIES LTD.)
MSEI
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED AWARD AMOUNT: RS.1,00,000 10-JAN-2013
831
21-AUG-2012
MARIGOLD VANIJYA PVT.LTD.
MSEI
REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION
PENALTY IMPOSED RS.1,10,321 SUSPENDED FROM MEMBERSHIP FROM 04-OCT-2012 TO 08-OCT-2012 21-AUG-2012
832
21-AUG-2012
SWASTIKA INVESTMART LTD.
(Old Name : SWASTIKA FIN-LEASE LTD.)
MSEI
REPORTED WRONG/FALSE REPORT OF CLIENT MARGIN COLLECTION
PENALTY IMPOSED RS.2,275 ADVISED TO COMPLY WITH SEBI CIRCULARS AND EXCHANGE ON MARGIN REPORTING IN FUTURE 21-AUG-2012
833
18-JAN-2012
ANAND RATHI SHARE & STOCK BROKERS LTD.
(Old Name : NAVRATAN CAPITAL & SECURITIES PVT.LTD.)
MSEI
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED AWARD AMOUNT: RS.2,50,000 18-JAN-2012
MSEI VIDE ITS ARBITRATION AWARD DATED 10/08/2012 ALLOWED AND SET ASIDE THE AWARD DATED 18/01/2012 PASSED BY SOLE ARBIRATOR
834
09-NOV-2011
MUDRA BULLIONS PVT.LTD.
MSEI
SUBMITTED FALSE OR MISLEADING STATEMENT IN ITS CLEARING FORMS OR RETURNS TO STOCK EXCHANGE
SUSPENDED FROM MEMBERSHIP FROM 09-NOV-2011 DIRECTED NOT TO TAKE ANY FRESH POSITIONS ON THE EXCHANGE AND CLOSE ALL ITS OPEN POSITIONS FROM 09-NOV-2011 DIRECTED TO FURNISH AN UNDERTAKING TO EXCHANGE DECLARING THAT NEITHER THEY NOR ANY OF THEIR DIRECTORS DIRECTLY OR INDIRECTLY APPLY FOR MEMBERSHIP OF THE EXCHANGE DURING CURRENCY OF THE SUSPENSION OR TRADE ON THE EXCHANGE 09-NOV-2011
835
23-JUN-2010
GANGA YAMUNA FINVEST PVT.LTD.
MSEI
DECLARED DEFAULTER ON CURRENCY DERIVATIVES SEGMENT BY THE EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 23-JUN-2010 23-JUN-2010
836
20-MAY-2010
SUNCHAN SECURITIES LTD.
MSEI
DECLARED DEFAULTER ON CURRENCY DERIVATIVES SEGMENT BY THE EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 20-MAY-2010 20-MAY-2010
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
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