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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 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.

SUB-BROKERS: DEFICIENCIES/IRREGULARITIES REGARDING EXPOSURE/TURNOVER LIMITS

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person PRAVEEN KUMAR & CO.  

(Sub-Broker of UPSE SECURITIES LTD. , Member : BSE)
  DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY AND FAIRNESS IN CONDUCT OF BUSINESS

DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK

COMMITTED IRREGULARITIES/DEFAULTED IN ISSUANCE OF CONFIRMATION MEMOS

DEFAULTED IN SUBMITTING CORRECT TURNOVER DATA  		SUSPENDED REGISTRATION AS SUB-BROKER FROM 28-DEC-2006 TO 11-JAN-2007

07-DEC-2006 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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