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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: VIOLATED SEBI TAKEOVER CODE, 1997

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CLASSIC SHARE & STOCK BROKING SERVICES LTD.  

(Member : OTC)
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE , 1997 IN MATTER OF ACQUISITION OF SHARES OF ADANI EXPORTS LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)

24-JAN-2008
2 
History of entity/person CLASSIC SHARE & STOCK BROKING SERVICES LTD.  

(Member : CSE)
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE , 1997 IN MATTER OF ACQUISITION OF SHARES OF ADANI EXPORTS LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)

24-JAN-2008
3 
History of entity/person CLASSIC SHARE & STOCK BROKING SERVICES LTD.  

(Member : NSE)
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE , 1997 IN MATTER OF ACQUISITION OF SHARES OF ADANI EXPORTS LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)

24-JAN-2008
4 
History of entity/person CLASSIC SHARE & STOCK BROKING SERVICES LTD.  

(Member : BSE)
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE , 1997 IN MATTER OF ACQUISITION OF SHARES OF ADANI EXPORTS LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)

24-JAN-2008
5 
History of entity/person IL&FS INVESTSMART LTD.  

(Member : BSE)
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)

06-MAY-2008
6 
History of entity/person IL&FS INVESTSMART LTD.  

(Member : NSE)
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)

06-MAY-2008
7 
History of entity/person TRIUMPH SECURITIES LTD.  

(Member : BSE)
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE , 1997 IN MATTER OF ACQUISITION OF SHARES OF ADANI EXPORTS LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)

24-JAN-2008
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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