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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 PUBLIC ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES

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

(PAN:AABCP6609A)  

(Sub-Broker of ASE CAPITAL MARKETS LTD. , Member : BSE)
History of entity/person PRANAV A.SHETH

History of entity/person RUPAK K.SHAH

History of entity/person SUJAL J.ZAVERI
  		FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE  DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS

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

28-DEC-2011 		SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011  
2
History of entity/person PARKLIGHT SECURITIES LTD.

(PAN:AABCP6609A)  

(Sub-Broker of ASE CAPITAL MARKETS LTD. , Member : NSE)
History of entity/person PRANAV A.SHETH

History of entity/person RUPAK K.SHAH

History of entity/person SUJAL J.ZAVERI
  		FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE  DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS

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

28-DEC-2011 		SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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