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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 FUND-BASED ACTIVITIES

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

(Sub-Broker of UPSE SECURITIES LTD. , Member : BSE)
  EXECUTED TRADES WHERE BROKER HIMSELF WAS BUYER AS WELL AS SELLER

DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS

INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES  		SUSPENDED REGISTRATION AS SUB-BROKER FROM 25-DEC-2006 TO 31-DEC-2006

04-DEC-2006 		 
2
History of entity/person MAGMA SECURITIES LTD.  

(Sub-Broker of OTCEI SECURITIES LTD. , Member : NSE)
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES  		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-DEC-2005 		 
3
History of entity/person NELLIYAN STOCKS  

(Sub-Broker of ISE SECURITIES & SERVICES LTD. , Member : BSE)
  INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES

PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS  		IMPOSED PENALTY RS.50,000

10-MAR-2011 		 
4
History of entity/person NELLIYAN STOCKS  

(Sub-Broker of ISE SECURITIES & SERVICES LTD. , Member : NSE)
  INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES

PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS  		IMPOSED PENALTY RS.50,000

10-MAR-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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