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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.

UN-AUTHORISED SUB-BROKERS: 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

S.No. ENTITY DIRECTORS/ PERSONS  REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person REENA BANSAL,M/S  
History of entity/person REENA BANSAL
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-APR-2011 TO 20-APR-2016

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-APR-2011 TO 20-APR-2016

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-APR-2011 		SEBI VIDE ITS ORDER DATED 09/06/2014 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/04/2011

SEBI VIDE ITS ORDER DATED 22/04/2015 RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF 5 YEARS FORM 21/04/2011 TO 20/04.2016  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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