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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 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: VIOLATED CODE OF CONDUCT

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person KHANDWALA SECURITIES LTD.  
  ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS VIOLATING REGULATIONS 4(B) (C) AND (D) OF SEBI (PFUTP) REGULATIONS, 2003 IN SCRIP OF DSQ SOFTWARE LTD.

ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DSQ SOFTWARE LTD.  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.40,00,000 VIDE CONSENT ORDER)

15-SEP-2009
2 
History of entity/person P.N.VIJAY FINANCIAL SERVICES PVT.LTD.  
  ALLEGED VIOLATION OF CODE OF CONDUCT OF PORTFOLIO MANAGERS  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

20-NOV-2007
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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