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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: VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person P.K.CAPITAL SERVICES PVT.LTD.  

(Sub-Broker of UPSE SECURITIES LTD. , Member : BSE)
  DEFICIENCIES IN CLIENT DATABASE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE

DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING

DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI

DID NOT EXERCISE DUE SKILL AND DILIGENCE

DEALT WITH UN-REGISTERED SUB-BROKERS  		IMPOSED PENALTY RS.1,00,000

03-NOV-2004 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.30,000 FROM RS.1,00,000  
2
History of entity/person RAJ ENTERPRISES  

(Sub-Broker of SKSE SECURITIES LTD. , Member : BSE)
History of entity/person MUSTAFA LAKDAWALA
  		DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

IRREGULARITIES IN REGISTRATION OF CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT IN CASH WITH CLIENTS

DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING  		IMPOSED PENALTY RS.30,000

08-NOV-2005 		 
3
History of entity/person RAJ ENTERPRISES  

(Sub-Broker of SKSE SECURITIES LTD. , Member : NSE)
History of entity/person MUSTAFA LAKDAWALA
  		DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

IRREGULARITIES IN REGISTRATION OF CLIENTS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DEALT IN CASH WITH CLIENTS

DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING  		IMPOSED PENALTY RS.30,000

08-NOV-2005 		 
4
History of entity/person SONA M.SHETH,M/S  

(Sub-Broker of ISE SECURITIES & SERVICES LTD. , Member : NSE)
History of entity/person SONA M.SHETH
  		DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING  CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-DEC-2005 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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