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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
PERIOD COVERED : 01-JAN-1997 TO 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.

STOCK BROKERS: DIRECTED TO ADOPT DUE DILIGENT MEASURES SUCH AS CHECKS AND BALANCES IN TERMS OF ADEQUATE SYSTEMS AND PROCEDURES IN ITS OPERATIONS TO AVOID ANY REGULATORY LAPSE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person MSS SECURITIES PVT.LTD.  

(Member : BSE)
  DID NOT EXECUTE TRANSACTION DATED 11/09/2000 ON SCREENS OF EXCHANGES IN PRICE AND ORDER MATCHING MECHANISM VIOLATING SEBI CIRCULAR SMDRP/POLICY/CIR-32/99 DATED 14/09/1999

DELAY IN MAKING PAYMENT TO CLIENTS

DID NOT DELIVER SECURITIES TO CLIENTS IN TIME

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES  		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

DIRECTED TO ADOPT DUE DILIGENT MEASURES SUCH AS CHECKS AND BALANCES IN TERMS OF ADEQUATE SYSTEMS AND PROCEDURES IN ITS OPERATIONS TO AVOID ANY REGULATORY LAPSE

21-MAY-2021
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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