If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 13-JUL-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.

STOCK BROKERS: REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO REGISTER NEW CLIENTS FOR A PERIOD OF 45 DAYS)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person 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
2 
History of entity/person 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
3 
History of entity/person 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
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2024
No part of this site may be reproduced without the explicit permission of the owners.

top