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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 NOT TO ENTER INTO NEW CONTRACT OF BUY AND SELL ON HIS OWN ACCOUNT AS PRINCIPAL (PROPRIETARY TRADE)

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

(PAN:AABCG5457B)  

(Member : BSE)
  DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE IN AVOIDING SUCH EXECUTION OF TRADDES ON BEHALF OF GROUP ENTITIES/NOTICEES AND FACILITATED GROUP ENTITIES IN PLACING/EXECUTING HUGE TRADES RESULTING INTO CREATION OF ARTIFICIAL VOLUME/PRICE RISE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF SARANG CHEMICALS LTD.  PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER FROM 11-JAN-2019 TO 10-JUL-2019

DIRECTED NOT TO ENTER INTO NEW CONTRACT OF BUY AND SELL ON HIS OWN ACCOUNT AS PRINCIPAL (PROPRIETARY TRADE)

04-JAN-2019
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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