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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: INDULGED IN UNAUTHORISED CARRY FORWARD TRANSACTIONS

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

(Sub-Broker of UPSE SECURITIES LTD. , Member : BSE)
  DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES

DEFICIENCIES IN CLIENT DATABASE

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

INDULGED IN OFF-MARKET TRANSACTIONS

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS  		SUSPENDED REGISTRATION AS SUB-BROKER FROM 28-NOV-2008 TO 27-JAN-2009

07-NOV-2008 		 
2
History of entity/person GEETA SHARE ENTERPRISES  

(Sub-Broker of UPSE SECURITIES LTD. , Member : BSE)
  COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER

INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS

DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE

DEFICIENCIES IN CLIENT DATABASE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT REDRESS INVESTOR COMPLAINTS  		SUSPENDED REGISTRATION AS SUB-BROKER FROM 09-NOV-2004 TO 08-MAY-2005

19-OCT-2004 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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