| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
EMKAY GLOBAL FINANCIAL SERVICES LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION THROUGH SYNCHRONISED TRANSACTIONS IN SCRIP OF AAREY DRUGS & PHARMACEUTICALS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AS REQUIRED UNDER CLAUSE A (2) OF CODE OF CONDUCT FOR STOCK BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF AAREY DRUGS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,00,800 VIDE CONSENT ORDER)
05-JUN-2015
|
|
| 62 |
|
|
EMKAY GLOBAL FINANCIAL SERVICES LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION THROUGH SYNCHRONISED TRANSACTIONS IN SCRIP OF AAREY DRUGS & PHARMACEUTICALS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AS REQUIRED UNDER CLAUSE A (2) OF CODE OF CONDUCT FOR STOCK BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF AAREY DRUGS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,00,800 VIDE CONSENT ORDER)
05-JUN-2015
|
|
| 63 |
|
|
ENPEE ENTERPRISES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRADING IN SCRIP OF NEDUNGADI BANK LTD.
ALLEGED VIOLATION OF REGULATION 7 READ WITH CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF NEDUNGADI BANK LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-OCT-2009 TO 28-AUG-2010 VIDE CONSENT ORDER)
01-OCT-2009
|
|
| 64 |
|
|
EXPRESS SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF ROOFIT INDUSTRIES LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ROOFIT INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER FROM 21-DEC-2009 TO 20-JAN-2010 VIDE CONSENT ORDER)
15-DEC-2009
|
|
| 65 |
|
|
FARSIGHT BROKERS PVT.LTD.
(Member : OTC)
|
|
|
ALLEGED VIOLATION OF REGULATION 15A (2) OF SCHEDULE II OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF VERONICA LABORATORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
27-JAN-2009
|
|
| 66 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SPANCO TELESYSTEMS & SOLUTIONS LTD.
VIOLATED REGULATION 7 READ WITH CODE OF CONDUCT AS SPECIFIED IN SCHEDULE 11 OF STOCK BROKER REGULATION
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-APR-2007 TO 03-MAY-2007
29-MAR-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
20-DEC-2007
|
SAT: ORDER SET ASIDE AS APPLICANT AGREED TO PAY RS.1,75,000 AS PER CONSENT ORDER
|
| 67 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NEDUNGADI BANK LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE DURING TRADE IN SCRIP OF NEDUNGADI BANK LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAY-2007 TO 06-AUG-2007
16-APR-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
26-MAY-2008
|
SAT: AGREED TO PAY RS.10,25,000 AS PER CONSENT ORDER DATED 26/05/2008
|
| 68 |
|
|
GLOBE CAPITAL MARKET LTD.
(Member : BSE)
|
|
|
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED INDULGENCE IN SENDING SMS AND EMAILS OF BEARISH OUTLOOK TO CLIENTS
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
22-DEC-2008
|
|
| 69 |
|
|
GLOBE CAPITAL MARKET LTD.
(Member : NSE)
|
|
|
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED INDULGENCE IN SENDING SMS AND EMAILS OF BEARISH OUTLOOK TO CLIENTS
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
22-DEC-2008
|
|
| 70 |
|
|
GLOBE CAPITAL MARKET LTD.
(Member : LSE)
|
|
|
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED INSTALLATION OF TERMINALS AT UNAUTHORIZED PLACES
ALLEGED INDULGENCE IN SENDING SMS AND EMAILS OF BEARISH OUTLOOK TO CLIENTS
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
22-DEC-2008
|
|
| 71 |
|
|
HSBC INVESTDIRECT SECURITIES (INDIA) LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,30,57,343 VIDE CONSENT ORDER)
17-JAN-2018
|
|
| 72 |
|
|
HSBC INVESTDIRECT SECURITIES (INDIA) LTD.
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,30,57,343 VIDE CONSENT ORDER)
17-JAN-2018
|
|
| 73 |
|
|
HSBC INVESTDIRECT SECURITIES (INDIA) LTD.
(Member : DSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF ADANI EXPORTS LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,30,57,343 VIDE CONSENT ORDER)
17-JAN-2018
|
|
| 74 |
|
|
IIFL SECURITIES LTD.
(PAN:AAACI7397D)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) IN SCRIP OF ALKEM LABORATORIES LTD.
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) VIOLATING CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ALKEM LABORATORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,21,92,125 VIDE CONSENT ORDER)
25-FEB-2022
|
|
| 75 |
|
|
IIFL SECURITIES LTD.
(PAN:AAACI7397D)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) IN SCRIP OF ALKEM LABORATORIES LTD.
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) VIOLATING CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ALKEM LABORATORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,21,92,125 VIDE CONSENT ORDER)
25-FEB-2022
|
|
| 76 |
|
|
IIFL WEALTH MANAGEMENT LTD.
(PAN:AABCI8294C)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) IN SCRIP OF ALKEM LABORATORIES LTD.
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) VIOLATING CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ALKEM LABORATORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,12,64,858 VIDE CONSENT ORDER)
08-JUL-2022
|
|
| 77 |
|
|
IIFL WEALTH MANAGEMENT LTD.
(PAN:AABCI8294C)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) IN SCRIP OF ALKEM LABORATORIES LTD.
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) VIOLATING CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ALKEM LABORATORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,12,64,858 VIDE CONSENT ORDER)
08-JUL-2022
|
|
| 78 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND B(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,00,000 VIDE CONSENT ORDER)
19-DEC-2014
|
|
| 79 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : NSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND B(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,00,000 VIDE CONSENT ORDER)
19-DEC-2014
|
|
| 80 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1),4(2) (A),(B),(E),(G) & (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MEGA CORP.LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLYING WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MEGA CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.30,00,000 VIDE CONSENT ORDER)
22-SEP-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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| Page 4 of 11
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