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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.

PERSONS: WARNED AND ADVISED TO REFRAIN FROM REPRESENTING AS SUB-BROKER OR PORTFOLIO MANAGER OR DEPOSITORY PARTICIPANT IN ANY MANNER WHATSOEVER AND NOT HOLD VALID CERTIFICATES OF REGISTRATION

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person AJAY KUMAR SHARMA

(PAN:ANQPS0753F
DIN:02356951)  
History of entity/person MORAL CAPITAL SERVICES LTD.

(PAN:AAFCM3135Q
CIN:U67110UP2007PLC034163)
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

ACTED AS DEPOSITORY PARTICIPANTS WITHOUT SEBI REGISTRATION  		WARNED AND ADVISED TO REFRAIN FROM REPRESENTING AS SUB-BROKER OR PORTFOLIO MANAGER OR DEPOSITORY PARTICIPANT IN ANY MANNER WHATSOEVER AND NOT HOLD VALID CERTIFICATES OF REGISTRATION

31-OCT-2017
2 
History of entity/person ARUN KUMAR

(PAN:AGZPK5596J
DIN:02000610)  
History of entity/person MORAL CAPITAL SERVICES LTD.

(PAN:AAFCM3135Q
CIN:U67110UP2007PLC034163)
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

ACTED AS DEPOSITORY PARTICIPANTS WITHOUT SEBI REGISTRATION  		WARNED AND ADVISED TO REFRAIN FROM REPRESENTING AS SUB-BROKER OR PORTFOLIO MANAGER OR DEPOSITORY PARTICIPANT IN ANY MANNER WHATSOEVER AND NOT HOLD VALID CERTIFICATES OF REGISTRATION

31-OCT-2017
3 
History of entity/person GYANESHWAR SHARMA

(PAN:BQHPS9902F
DIN:01881854)  
History of entity/person MORAL CAPITAL SERVICES LTD.

(PAN:AAFCM3135Q
CIN:U67110UP2007PLC034163)
  		ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

ACTED AS DEPOSITORY PARTICIPANTS WITHOUT SEBI REGISTRATION  		WARNED AND ADVISED TO REFRAIN FROM REPRESENTING AS SUB-BROKER OR PORTFOLIO MANAGER OR DEPOSITORY PARTICIPANT IN ANY MANNER WHATSOEVER AND NOT HOLD VALID CERTIFICATES OF REGISTRATION

31-OCT-2017
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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