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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: NOT A FIT AND PROPER PERSON

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

(Sub-Broker of COCHIN STOCK BROKERS LTD. , Member : NSE)
  DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK

DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

IRREGULARITIES BY SMIFS SECURITIES LTD. IN ISSUANCE OF CONTRACT NOTES, NON-SEGREGATION OF CLIENT/OWN FUNDS ETC.  		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

04-DEC-2006 		 
2
History of entity/person SAHARA INDIA FINANCIAL CORP.LTD.  

(Sub-Broker of IDBI CAPITAL MARKETS & SECURITIES LTD. , Member : BSE)
  NOT A FIT & PROPER PERSON TO CONTINUE AS SUB-BROKER VIOLATING REGULATION 7(2)(E) READ WITH SCHEDULE II OF SEBI INTERMEDIARIES REGULATIONS  CANCELLED REGISTRATION AS SUB-BROKER FROM 24-MAR-2021

03-MAR-2021 		 
3
History of entity/person SAHARA INDIA FINANCIAL CORP.LTD.  

(Sub-Broker of IDBI CAPITAL MARKETS & SECURITIES LTD. , Member : NSE)
  NOT A FIT & PROPER PERSON TO CONTINUE AS SUB-BROKER VIOLATING REGULATION 7(2)(E) READ WITH SCHEDULE II OF SEBI INTERMEDIARIES REGULATIONS  CANCELLED REGISTRATION AS SUB-BROKER FROM 24-MAR-2021

03-MAR-2021 		 
4
History of entity/person SUMEET KUMAR BHAGAT,M/S

(PAN:AGRPB6998B)  

(Sub-Broker of INDIA INFOLINE LTD. , Member : BSE)
History of entity/person SUMEET KUMAR BHAGAT
  		NOT A FIT & PROPER PERSON TO ACT AS SUB BROKER  CANCELLED REGISTRATION AS SUB-BROKER FROM 04-OCT-2019

04-OCT-2019 		 
5
History of entity/person SUMEET KUMAR BHAGAT,M/S

(PAN:AGRPB6998B)  

(Sub-Broker of INDIA INFOLINE LTD. , Member : NSE)
History of entity/person SUMEET KUMAR BHAGAT
  		NOT A FIT & PROPER PERSON TO ACT AS SUB BROKER  CANCELLED REGISTRATION AS SUB-BROKER FROM 04-OCT-2019

04-OCT-2019 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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