| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ASE CAPITAL MARKETS LTD.
(Member : NSE)
|
|
|
ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTING AS SUB BROKER OF HIS OWN FIRM VIOLATING REGULATION 15A OF SEBI (STOCK BOKERS AND SUB-BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN APPOINMENT OF CHIEF EXECUTIVE OFFICER AND RECONSTITUTION OF GOVERNING BOARD AS REQUIRED VIDE SEBI CIRCULAR NO.SMD/POLICY/CIR-04/2003 DATED 11/02/2003
ALLEGED ASSIGN OR DELIGATE ITS FUNCTIONS AS PARTICIPANT WITHOUT APPROVAL OF DEPOSITORY AS REQUIRED UNDER REGULATION 52 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED VIOLATION OF CODE OF CONDUCT AS SPECIFIED IN THIRD SCHEDULE UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN FULFILLING CRITERIA FOR GRANT OF CERTIFICATE OF REGISTRATION AS REQUIRED UNDER REGULATION 19A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
29-JUN-2009
|
|
| 2 |
|
|
ASE CAPITAL MARKETS LTD.
(Member : BSE)
|
|
|
ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTING AS SUB BROKER OF HIS OWN FIRM VIOLATING REGULATION 15A OF SEBI (STOCK BOKERS AND SUB-BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN APPOINMENT OF CHIEF EXECUTIVE OFFICER AND RECONSTITUTION OF GOVERNING BOARD AS REQUIRED VIDE SEBI CIRCULAR NO.SMD/POLICY/CIR-04/2003 DATED 11/02/2003
ALLEGED ASSIGN OR DELIGATE ITS FUNCTIONS AS PARTICIPANT WITHOUT APPROVAL OF DEPOSITORY AS REQUIRED UNDER REGULATION 52 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED VIOLATION OF CODE OF CONDUCT AS SPECIFIED IN THIRD SCHEDULE UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN FULFILLING CRITERIA FOR GRANT OF CERTIFICATE OF REGISTRATION AS REQUIRED UNDER REGULATION 19A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
29-JUN-2009
|
|
| 3 |
|
|
ASE CAPITAL MARKETS LTD.
(Member : CSE)
|
|
|
ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTING AS SUB BROKER OF HIS OWN FIRM VIOLATING REGULATION 15A OF SEBI (STOCK BOKERS AND SUB-BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN APPOINMENT OF CHIEF EXECUTIVE OFFICER AND RECONSTITUTION OF GOVERNING BOARD AS REQUIRED VIDE SEBI CIRCULAR NO.SMD/POLICY/CIR-04/2003 DATED 11/02/2003
ALLEGED ASSIGN OR DELIGATE ITS FUNCTIONS AS PARTICIPANT WITHOUT APPROVAL OF DEPOSITORY AS REQUIRED UNDER REGULATION 52 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED VIOLATION OF CODE OF CONDUCT AS SPECIFIED IN THIRD SCHEDULE UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN FULFILLING CRITERIA FOR GRANT OF CERTIFICATE OF REGISTRATION AS REQUIRED UNDER REGULATION 19A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
29-JUN-2009
|
|
| 4 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN FURNISHING OF INFORMATION , DELAY IN DEMATERIALISATION OR ISSUE OF CERTIFICATE OF SECURITIES VIOLATING REGULATION 19A, 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED FAILURE IN OPENING OF SEPARATE ACCOUNTS IN NAME OF EACH BENEFICIAL OWNER AND DID NOT FURNISH DETAILS OF SURRENDER OF SECURITIES TO ISSUER ALONGWITH CERTIFICATE OF SECURITY VIOLATING REGULATION 42(1) AND 54(4) OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
10-FEB-2010
|
|
| 5 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN FURNISHING OF INFORMATION , DELAY IN DEMATERIALISATION OR ISSUE OF CERTIFICATE OF SECURITIES VIOLATING REGULATION 19A, 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED FAILURE IN OPENING OF SEPARATE ACCOUNTS IN NAME OF EACH BENEFICIAL OWNER AND DID NOT FURNISH DETAILS OF SURRENDER OF SECURITIES TO ISSUER ALONGWITH CERTIFICATE OF SECURITY VIOLATING REGULATION 42(1) AND 54(4) OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
10-FEB-2010
|
|
| 6 |
|
|
TRANSWORLD SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
ALLEGED FAILURE IN TAKING PROOF OF IDENTITY AND ADDRESS OF ITS CLIENTS WHILE OPENING BENEFICIARY ACCOUNTS
ALLEGED FAILURE IN MAINTENANCE OF NOMINATION REGISTER
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE IN APPOINTMENT OF NCFM CERTIFIED PERSONS IN SOME OF ITS BRANCHES
ALLEGED DELAY IN SUBMISSION OF ANNUAL ACCOUNTS AND NETWORTH CERTIFICATE TO NSDL
ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
27-MAY-2011
|
|
| 7 |
|
|
TRANSWORLD SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
ALLEGED FAILURE IN TAKING PROOF OF IDENTITY AND ADDRESS OF ITS CLIENTS WHILE OPENING BENEFICIARY ACCOUNTS
ALLEGED FAILURE IN MAINTENANCE OF NOMINATION REGISTER
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE IN APPOINTMENT OF NCFM CERTIFIED PERSONS IN SOME OF ITS BRANCHES
ALLEGED DELAY IN SUBMISSION OF ANNUAL ACCOUNTS AND NETWORTH CERTIFICATE TO NSDL
ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
27-MAY-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
