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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 21-NOV-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.

PORTFOLIO MANAGERS: PROSECUTION LAUNCHED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
  VIOLATED SEBI (PFUTP) REGULATIONS, 1995

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993  		PROSECUTION LAUNCHED

15-MAY-2006
2 
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
  VIOLATED SECTION 11 (3) OF SEBI ACT, 1992  PROSECUTION LAUNCHED

15-MAY-2006
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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