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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: PROHIBITED FROM TAKING UP ANY FRESH ASSIGNMENTS AS A SUB BROKER

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

(PAN:AABCI2654Q)  

(Sub-Broker of ASE CAPITAL MARKETS LTD. , Member : BSE)
  DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 15 READ WITH CLAUSES A(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF RIBA TEXTILES LTD.  PROHIBITED FROM TAKING UP ANY FRESH ASSIGNMENTS AS A SUB BROKER FROM 21-APR-2016 TO 05-MAY-2016

31-MAR-2016 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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