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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.

STOCK BROKERS: REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO SPEND A SUM OF RS.1 CRORE ON INVESTOR EDUCATION AND AWARENESS PROGRAMME AND ON DEVELOPMENT OF METERIALS FOCUSING ON MAKING INVESTORS MORE AWARE OF THEIR RIGHTS IN CONNECTION WITH INTERNET BASED TRADING IN SECURITIES MARKET WITHIN 6 MONTHS FROM DATE OF RECEIPT OF THIS CONSENT ORDER)

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

(PAN:AADCR0260P)  

(Member : MCX)
  ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS

ALLEGED VIOLATION OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS IN SCHEDULE II UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO REGISTER NEW CLIENTS FOR A PERIOD OF 45 DAYS) FROM 16-JUN-2011

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO SPEND A SUM OF RS.1 CRORE ON INVESTOR EDUCATION AND AWARENESS PROGRAMME AND ON DEVELOPMENT OF METERIALS FOCUSING ON MAKING INVESTORS MORE AWARE OF THEIR RIGHTS IN CONNECTION WITH INTERNET BASED TRADING IN SECURITIES MARKET WITHIN 6 MONTHS FROM DATE OF RECEIPT OF THIS CONSENT ORDER) FROM 16-JUN-2011

09-JUN-2011
2 
History of entity/person RELIANCE SECURITIES LTD.

(PAN:AADCR0260P)  

(Member : NSE)
  ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS

ALLEGED VIOLATION OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS IN SCHEDULE II UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO REGISTER NEW CLIENTS FOR A PERIOD OF 45 DAYS) FROM 16-JUN-2011

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO SPEND A SUM OF RS.1 CRORE ON INVESTOR EDUCATION AND AWARENESS PROGRAMME AND ON DEVELOPMENT OF METERIALS FOCUSING ON MAKING INVESTORS MORE AWARE OF THEIR RIGHTS IN CONNECTION WITH INTERNET BASED TRADING IN SECURITIES MARKET WITHIN 6 MONTHS FROM DATE OF RECEIPT OF THIS CONSENT ORDER) FROM 16-JUN-2011

09-JUN-2011
3 
History of entity/person RELIANCE SECURITIES LTD.

(PAN:AADCR0260P)  

(Member : BSE)
  ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS

ALLEGED VIOLATION OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS IN SCHEDULE II UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO REGISTER NEW CLIENTS FOR A PERIOD OF 45 DAYS) FROM 16-JUN-2011

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO SPEND A SUM OF RS.1 CRORE ON INVESTOR EDUCATION AND AWARENESS PROGRAMME AND ON DEVELOPMENT OF METERIALS FOCUSING ON MAKING INVESTORS MORE AWARE OF THEIR RIGHTS IN CONNECTION WITH INTERNET BASED TRADING IN SECURITIES MARKET WITHIN 6 MONTHS FROM DATE OF RECEIPT OF THIS CONSENT ORDER) FROM 16-JUN-2011

09-JUN-2011
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

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