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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: DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person SURANA CAPITAL MARKETS  

(Sub-Broker of MSE FINANCIAL SERVICES LTD. , Member : BSE)
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS IN SCRIP OF KWALITY DAIRY (INDIA) LTD.  DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-DEC-2009 TILL FURTHER ORDERS

DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

01-DEC-2009 		AD-INTERIM EX-PARTE ORDER DATED 01/12/2009 CONFIRMED. VIDE ORDER DATED 25/03/2010

DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 01/12/2009 AND CONFIRMATORY ORDERS DATED 25/03/2010 AND 19/11/2010 REVOKED WITH IMMEDIATED EFFECT, VIDE ORDER DATED 31/03/2011  
2
History of entity/person SURANA CAPITAL MARKETS  

(Sub-Broker of MSE FINANCIAL SERVICES LTD. , Member : NSE)
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS IN SCRIP OF KWALITY DAIRY (INDIA) LTD.  DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-DEC-2009 TILL FURTHER ORDERS

DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

01-DEC-2009 		AD-INTERIM EX-PARTE ORDER DATED 01/12/2009 CONFIRMED. VIDE ORDER DATED 25/03/2010

DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 01/12/2009 AND CONFIRMATORY ORDERS DATED 25/03/2010 AND 19/11/2010 REVOKED WITH IMMEDIATED EFFECT, VIDE ORDER DATED 31/03/2011  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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