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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 SECURITIES CONTRACTS (REGULATION) ACT, 1956

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

(Sub-Broker of ANAND RATHI SHARE & STOCK BROKERS LTD. , Member : NSE)
History of entity/person BHADRESH SANGHVI
  		DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION

ENGAGED IN ILLEGAL TRADING VIOLATING SECTION 19 (1) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956

ISSUED CONTRACT NOTES IN DIFFERENT FORMAT FROM THAT PRESCRIBED BY EXCHANGE VIOLATING REGULATION 7 READ WITH CLAUSES B(2) READ WITH REGULATION 15 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 AND SEBI CIRCULARS NO.MIRSD/DPS-1/CIR-31/2004 DATED 26/08/2004 AND SMD(B)/104/22775/93 DATED 29/10/1993

DISPLAYED MISLEADING BOARD AND NOT DISPLAYED REGISTRATION CERTIFICATE VIOLATING NSE CIRCULAR NO.NSE/MEM/1591 DATED 20/04/2000

OPERATED IML TERMINAL WITHOUT REQUIRED CERTIFICATION VIOLATING BSE NOTICE NO.20070522-25 DATED 22/05/2007 AND 20071024-28 DATED 24/10/2007

DEALT WITH ANOTHER STOCK BROKER FOR OWN TRADE VIOLATING CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 AND REGULATION 2.1.12(A) OF CAPITAL MARKET SEGMENT OF NSE

DID NOT ABIDE BY RULES, REGULATIONS AND BYELAWS OF STOCK EXCHANGE VIOLATING REGULATION 12A (1) (A) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992  		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-DEC-2009 TILL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-DEC-2009 TILL FURTHER ORDERS

DIRECTED NSDL AND CDSL NOT TO GIVE EFFECT TO ANY DEBIT INSTRUCTION IN DEMAT ACCOUNTS OF SUB BROKER OR OF ANY BENEFICIAL OWNER ON AUTHORITY OF POWER OF ATTORNEY

21-DEC-2009 		DIRECTIONS ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 21/12/2009 CONFIRMED VIDE ORDER DATED 30/08/2010  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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