| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF DESIGN AUTO SYSTEMS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE VIOLATING CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DESIGN AUTO SYSTEMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,50,000 VIDE CONSENT ORDER)
21-DEC-2009
|
|
| 2 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4(1) AND 4(2) (G) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
ALLEGED INDULGENCE IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
02-JAN-2018
|
|
| 3 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4(1) AND 4(2) (G) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
ALLEGED INDULGENCE IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
02-JAN-2018
|
|
| 4 |
|
|
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
|
|
| 5 |
|
|
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
|
|
| 6 |
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
