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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: ACTIVATED SUB-BROKER TERMINALS BEFORE GETTING SEBI REGISTRATION

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

(Member : BSE)
  DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED GRANT OF TRADING TERMINALS AT LOCATIONS OTHER THAN REGISTERED OFFICES AND REGISTERED SUB-BROKERS’ OFFICES

ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES

ALLEGED MISUTILISATION OF CLIENTS FUNDS

ALLEGED CHANGE OF SHAREHOLDING PATTERN WITHOUT PRIOR PERMISSION OF SEBI  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

11-SEP-2008
2 
History of entity/person ALANKIT ASSIGNMENTS LTD.  

(Member : NSE)
  DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED GRANT OF TRADING TERMINALS AT LOCATIONS OTHER THAN REGISTERED OFFICES AND REGISTERED SUB-BROKERS’ OFFICES

ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES

ALLEGED MISUTILISATION OF CLIENTS FUNDS

ALLEGED CHANGE OF SHAREHOLDING PATTERN WITHOUT PRIOR PERMISSION OF SEBI  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

11-SEP-2008
3 
History of entity/person ALANKIT ASSIGNMENTS LTD.  

(Member : OTC)
  DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED GRANT OF TRADING TERMINALS AT LOCATIONS OTHER THAN REGISTERED OFFICES AND REGISTERED SUB-BROKERS’ OFFICES

ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES

ALLEGED MISUTILISATION OF CLIENTS FUNDS

ALLEGED CHANGE OF SHAREHOLDING PATTERN WITHOUT PRIOR PERMISSION OF SEBI  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

11-SEP-2008
4 
History of entity/person P.SURYAKANT SHARE & STOCK BROKERS PVT.LTD.  

(Member : BSE)
  ALLEGED FAILURE IN EXERCISING DUE DILIGENCE OVER TRADES EXECUTED BY SUB-BROKER IN MATTER OF DESIGN AUTO SYSTEMS LTD.

ALLEGED ACTIVATION OF SUB-BROKER TERMINALS BEFORE GETTING SEBI REGISTRATION  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

28-NOV-2008
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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