| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
MASTER CAPITAL SERVICES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI CIRCULARS NO.MRD/DOP/SE/CIR-20/2005 DATED 08/09/2005 AND MIRSD/SE/CIR-19/2009 DATED 03/12/2009
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,65,000 VIDE CONSENT ORDER)
06-SEP-2017
|
|
| 22 |
|
|
MASTER CAPITAL SERVICES LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI CIRCULARS NO.MRD/DOP/SE/CIR-20/2005 DATED 08/09/2005 AND MIRSD/SE/CIR-19/2009 DATED 03/12/2009
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,65,000 VIDE CONSENT ORDER)
06-SEP-2017
|
|
| 23 |
|
|
MASTER CAPITAL SERVICES LTD.
(Member : OTC)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI CIRCULARS NO.MRD/DOP/SE/CIR-20/2005 DATED 08/09/2005 AND MIRSD/SE/CIR-19/2009 DATED 03/12/2009
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,65,000 VIDE CONSENT ORDER)
06-SEP-2017
|
|
| 24 |
|
|
MASTER CAPITAL SERVICES LTD.
(Member : LSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI CIRCULARS NO.MRD/DOP/SE/CIR-20/2005 DATED 08/09/2005 AND MIRSD/SE/CIR-19/2009 DATED 03/12/2009
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,65,000 VIDE CONSENT ORDER)
06-SEP-2017
|
|
| 25 |
|
|
MPSE SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN ENTERING INTO AGREEMENT WITH CLIENT AS REQUIRED UNDER CLAUSE D (2) OF CODE OF CONDUCT FOR BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED NON MAINTENANCE OF AGREEMENT AS REQUIRED UNDER CLAUSE 1(N) OF REGULATION 17 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN MAINTAINING TRIPARTILE AGREEMENT BETWEEN BROKER-SUB BROKER AND CLIENTS AS REQUIRED VIDE SEBI CIRCULAR NO.SEBI/MRD/DOPS/CIR-11/2005 DATED 12/05/2005
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,25,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
15-JUN-2009
|
|
| 26 |
|
|
MPSE SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN ENTERING INTO AGREEMENT WITH CLIENT AS REQUIRED UNDER CLAUSE D (2) OF CODE OF CONDUCT FOR BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED NON MAINTENANCE OF AGREEMENT AS REQUIRED UNDER CLAUSE 1(N) OF REGULATION 17 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN MAINTAINING TRIPARTILE AGREEMENT BETWEEN BROKER-SUB BROKER AND CLIENTS AS REQUIRED VIDE SEBI CIRCULAR NO.SEBI/MRD/DOPS/CIR-11/2005 DATED 12/05/2005
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,25,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
15-JUN-2009
|
|
| 27 |
|
|
RELIANCE SECURITIES LTD.
(PAN:AADCR0260P)
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS IN SCHEDULE II UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO REGISTER NEW CLIENTS FOR A PERIOD OF 45 DAYS) FROM 16-JUN-2011
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO SPEND A SUM OF RS.1 CRORE ON INVESTOR EDUCATION AND AWARENESS PROGRAMME AND ON DEVELOPMENT OF METERIALS FOCUSING ON MAKING INVESTORS MORE AWARE OF THEIR RIGHTS IN CONNECTION WITH INTERNET BASED TRADING IN SECURITIES MARKET WITHIN 6 MONTHS FROM DATE OF RECEIPT OF THIS CONSENT ORDER) FROM 16-JUN-2011
09-JUN-2011
|
|
| 28 |
|
|
RELIANCE SECURITIES LTD.
(PAN:AADCR0260P)
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS IN SCHEDULE II UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO REGISTER NEW CLIENTS FOR A PERIOD OF 45 DAYS) FROM 16-JUN-2011
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO SPEND A SUM OF RS.1 CRORE ON INVESTOR EDUCATION AND AWARENESS PROGRAMME AND ON DEVELOPMENT OF METERIALS FOCUSING ON MAKING INVESTORS MORE AWARE OF THEIR RIGHTS IN CONNECTION WITH INTERNET BASED TRADING IN SECURITIES MARKET WITHIN 6 MONTHS FROM DATE OF RECEIPT OF THIS CONSENT ORDER) FROM 16-JUN-2011
09-JUN-2011
|
|
| 29 |
|
|
RELIANCE SECURITIES LTD.
(PAN:AADCR0260P)
(Member : MCX)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS IN SCHEDULE II UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO REGISTER NEW CLIENTS FOR A PERIOD OF 45 DAYS) FROM 16-JUN-2011
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO SPEND A SUM OF RS.1 CRORE ON INVESTOR EDUCATION AND AWARENESS PROGRAMME AND ON DEVELOPMENT OF METERIALS FOCUSING ON MAKING INVESTORS MORE AWARE OF THEIR RIGHTS IN CONNECTION WITH INTERNET BASED TRADING IN SECURITIES MARKET WITHIN 6 MONTHS FROM DATE OF RECEIPT OF THIS CONSENT ORDER) FROM 16-JUN-2011
09-JUN-2011
|
|
| 30 |
|
|
RKSV SECURITIES INDIA PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE TO MAINTAIN ROBUST CYBER SECURITY AND CYBER RESILIENCE FRAMEWORK TO PROTECT INTEGRITY OF DATA AND PRIVACY VIOLATING CLAUSES 3, 7, 11, 14, 17, 29, 36, 37, 45 AND 46 OF ANNEXURE OF SEBI CIRCULAR SEBI/HO/MIRSD/CIR/PB/2018/147 DATED 03/12/2018
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,13,75,000 VIDE CONSENT ORDER)
03-NOV-2023
|
|
| 31 |
|
|
RKSV SECURITIES INDIA PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE TO MAINTAIN ROBUST CYBER SECURITY AND CYBER RESILIENCE FRAMEWORK TO PROTECT INTEGRITY OF DATA AND PRIVACY VIOLATING CLAUSES 3, 7, 11, 14, 17, 29, 36, 37, 45 AND 46 OF ANNEXURE OF SEBI CIRCULAR SEBI/HO/MIRSD/CIR/PB/2018/147 DATED 03/12/2018
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,13,75,000 VIDE CONSENT ORDER)
03-NOV-2023
|
|
| 32 |
|
|
SKSE SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DEAFULT IN ISSUANCE OF CONTRACT NOTE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND B(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED FAILURE IN MAINTAINING UNIFORMITY IN DOCUMENTS REQUIRED FOR TRADING VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/DPS-1/CIR31/2004 DATED 26/08/2004
ALLEGED VIOLATION OF REGULATIONS 26(III),(V),(VII),(XII),(XIII) AND (XX) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
12-APR-2010
|
|
| 33 |
|
|
SKSE SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DEAFULT IN ISSUANCE OF CONTRACT NOTE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND B(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED FAILURE IN MAINTAINING UNIFORMITY IN DOCUMENTS REQUIRED FOR TRADING VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/DPS-1/CIR31/2004 DATED 26/08/2004
ALLEGED VIOLATION OF REGULATIONS 26(III),(V),(VII),(XII),(XIII) AND (XX) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
12-APR-2010
|
|
| 34 |
|
|
YOKE SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI ACT, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
20-MAY-2009
|
|
| 35 |
|
|
YOKE SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI ACT, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
20-MAY-2009
|
|
| 36 |
|
|
YOKE SECURITIES LTD.
(Member : OTC)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI ACT, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
20-MAY-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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