| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANGEL ONE LTD.
(PAN:AAACM6094R)
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF RULES 8(1)(F) AND 8(3)(F) OF SECURITIES CONTRACT (REGULATION) RULES, 1957
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI CIRCULAR ON CYBER SECURITY AND CYBER RESILIENCE DATED 03/12/2018
ALLEGED VIOLATION OF CLAUSE 7(A) OF ANNEXURE 1 TO SEBI CIRCULAR NO.MIRSD/DR-1/CIR-16/09 DATED 06/11/2009
ALLEGED VIOLATION OF SECTION 23D OF SC(R) ACT, 1956 READ WITH CLAUSE 1 OF SEBI CIRCULAR SMD/SED/CIR/93/23321 DATED 18/11/1993 AND CLAUSE 3 OF ANNEXURE OF SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
ALLEGED VIOLATION OF CLAUSE 3.2 OF ANNEXURE OF SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
ALLEGED VIOLATION OF VARIOUS NSE CIRCULARS
ALLEGED VIOLATION OF CLAUSE A(5) OF SCHEDULE II FOR CODE OF CONDUCT READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,74,56,000 VIDE CONSENT ORDER)
25-OCT-2024
|
|
| 2 |
|
|
ANGEL ONE LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF RULES 8(1)(F) AND 8(3)(F) OF SECURITIES CONTRACT (REGULATION) RULES, 1957
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF SEBI CIRCULAR ON CYBER SECURITY AND CYBER RESILIENCE DATED 03/12/2018
ALLEGED VIOLATION OF CLAUSE 7(A) OF ANNEXURE 1 TO SEBI CIRCULAR NO.MIRSD/DR-1/CIR-16/09 DATED 06/11/2009
ALLEGED VIOLATION OF SECTION 23D OF SC(R) ACT, 1956 READ WITH CLAUSE 1 OF SEBI CIRCULAR SMD/SED/CIR/93/23321 DATED 18/11/1993 AND CLAUSE 3 OF ANNEXURE OF SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
ALLEGED VIOLATION OF CLAUSE 3.2 OF ANNEXURE OF SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
ALLEGED VIOLATION OF VARIOUS NSE CIRCULARS
ALLEGED VIOLATION OF CLAUSE A(5) OF SCHEDULE II FOR CODE OF CONDUCT READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,74,56,000 VIDE CONSENT ORDER)
25-OCT-2024
|
|
| 3 |
|
|
ARTHA VRDDHI SECURITIES LTD.
(PAN:AACCT1746K)
(Member : BSE)
|
|
|
ALLEGED VIOLATING OF REGULATIONS 27(XV) AND 27(XVII) READ WITH 26(XV) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-OCT-2016
|
|
| 4 |
|
|
ARTHA VRDDHI SECURITIES LTD.
(PAN:AACCT1746K)
(Member : NSE)
|
|
|
ALLEGED VIOLATING OF REGULATIONS 27(XV) AND 27(XVII) READ WITH 26(XV) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-OCT-2016
|
|
| 5 |
|
|
ARTHA VRDDHI SECURITIES LTD.
(PAN:AACCT1746K)
(Member : MCX)
|
|
|
ALLEGED VIOLATING OF REGULATIONS 27(XV) AND 27(XVII) READ WITH 26(XV) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-OCT-2016
|
|
| 6 |
|
|
ASE CAPITAL MARKETS LTD.
(Member : NSE)
|
|
|
ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTING AS SUB BROKER OF HIS OWN FIRM VIOLATING REGULATION 15A OF SEBI (STOCK BOKERS AND SUB-BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN APPOINMENT OF CHIEF EXECUTIVE OFFICER AND RECONSTITUTION OF GOVERNING BOARD AS REQUIRED VIDE SEBI CIRCULAR NO.SMD/POLICY/CIR-04/2003 DATED 11/02/2003
ALLEGED ASSIGN OR DELIGATE ITS FUNCTIONS AS PARTICIPANT WITHOUT APPROVAL OF DEPOSITORY AS REQUIRED UNDER REGULATION 52 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED VIOLATION OF CODE OF CONDUCT AS SPECIFIED IN THIRD SCHEDULE UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN FULFILLING CRITERIA FOR GRANT OF CERTIFICATE OF REGISTRATION AS REQUIRED UNDER REGULATION 19A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
29-JUN-2009
|
|
| 7 |
|
|
ASE CAPITAL MARKETS LTD.
(Member : BSE)
|
|
|
ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTING AS SUB BROKER OF HIS OWN FIRM VIOLATING REGULATION 15A OF SEBI (STOCK BOKERS AND SUB-BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN APPOINMENT OF CHIEF EXECUTIVE OFFICER AND RECONSTITUTION OF GOVERNING BOARD AS REQUIRED VIDE SEBI CIRCULAR NO.SMD/POLICY/CIR-04/2003 DATED 11/02/2003
ALLEGED ASSIGN OR DELIGATE ITS FUNCTIONS AS PARTICIPANT WITHOUT APPROVAL OF DEPOSITORY AS REQUIRED UNDER REGULATION 52 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED VIOLATION OF CODE OF CONDUCT AS SPECIFIED IN THIRD SCHEDULE UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN FULFILLING CRITERIA FOR GRANT OF CERTIFICATE OF REGISTRATION AS REQUIRED UNDER REGULATION 19A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
29-JUN-2009
|
|
| 8 |
|
|
ASE CAPITAL MARKETS LTD.
(Member : CSE)
|
|
|
ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTING AS SUB BROKER OF HIS OWN FIRM VIOLATING REGULATION 15A OF SEBI (STOCK BOKERS AND SUB-BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN APPOINMENT OF CHIEF EXECUTIVE OFFICER AND RECONSTITUTION OF GOVERNING BOARD AS REQUIRED VIDE SEBI CIRCULAR NO.SMD/POLICY/CIR-04/2003 DATED 11/02/2003
ALLEGED ASSIGN OR DELIGATE ITS FUNCTIONS AS PARTICIPANT WITHOUT APPROVAL OF DEPOSITORY AS REQUIRED UNDER REGULATION 52 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED VIOLATION OF CODE OF CONDUCT AS SPECIFIED IN THIRD SCHEDULE UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN FULFILLING CRITERIA FOR GRANT OF CERTIFICATE OF REGISTRATION AS REQUIRED UNDER REGULATION 19A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
29-JUN-2009
|
|
| 9 |
|
|
DBS CHOLAMANDALAM SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN OBTAINING APPROVAL FROM SEBI FOR CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 6A (1) (C) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,56,267, INTEREST RS.1,18,640 VIDE CONSENT ORDER)
21-MAY-2009
|
|
| 10 |
|
|
DBS CHOLAMANDALAM SECURITIES LTD.
(Member : OTC)
|
|
|
ALLEGED FAILURE IN OBTAINING APPROVAL FROM SEBI FOR CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 6A (1) (C) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,56,267, INTEREST RS.1,18,640 VIDE CONSENT ORDER)
21-MAY-2009
|
|
| 11 |
|
|
DBS CHOLAMANDALAM SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN OBTAINING APPROVAL FROM SEBI FOR CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 6A (1) (C) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,56,267, INTEREST RS.1,18,640 VIDE CONSENT ORDER)
21-MAY-2009
|
|
| 12 |
|
|
DBS CHOLAMANDALAM SECURITIES LTD.
(Member : MDSE)
|
|
|
ALLEGED FAILURE IN OBTAINING APPROVAL FROM SEBI FOR CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 6A (1) (C) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,56,267, INTEREST RS.1,18,640 VIDE CONSENT ORDER)
21-MAY-2009
|
|
| 13 |
|
|
KUNVARJI FINSTOCK LTD.
(Member : ASE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 26(V), 26(VI), 26(XII), 26(XV), 26(XVI), 26(XIX) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
12-NOV-2008
|
|
| 14 |
|
|
MITESH MANUBHAI SHETH,M/S
(Member : ASE)
|
|
|
|
MITESH MANUBHAI SHETH
|
|
ALLEGED VIOLATION OF REGULATION 17,17(1)(I),21(4) AND 26(1),30(1) AND CLAUSE B(2) OF CODE OF CONDUCT UNDER SCHEDULE II TO REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF RULE 15(1),15(2) (C) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
ALLEGED VIOLATION OF RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-APR-1995
24-APR-1995
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)
22-MAR-2010
|
ORDER DATED 24/04/1995 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000 TOWARDS SETTLEMENT CHARGES AND RS.1,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER DATED 22/03/2010
|
| 15 |
|
|
MPSE SECURITIES LTD.
(Member : NSE)
|
|
|
ALLEGED FAILURE IN ENTERING INTO AGREEMENT WITH CLIENT AS REQUIRED UNDER CLAUSE D (2) OF CODE OF CONDUCT FOR BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED NON MAINTENANCE OF AGREEMENT AS REQUIRED UNDER CLAUSE 1(N) OF REGULATION 17 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN MAINTAINING TRIPARTILE AGREEMENT BETWEEN BROKER-SUB BROKER AND CLIENTS AS REQUIRED VIDE SEBI CIRCULAR NO.SEBI/MRD/DOPS/CIR-11/2005 DATED 12/05/2005
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,25,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
15-JUN-2009
|
|
| 16 |
|
|
MPSE SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN ENTERING INTO AGREEMENT WITH CLIENT AS REQUIRED UNDER CLAUSE D (2) OF CODE OF CONDUCT FOR BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED NON MAINTENANCE OF AGREEMENT AS REQUIRED UNDER CLAUSE 1(N) OF REGULATION 17 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN MAINTAINING TRIPARTILE AGREEMENT BETWEEN BROKER-SUB BROKER AND CLIENTS AS REQUIRED VIDE SEBI CIRCULAR NO.SEBI/MRD/DOPS/CIR-11/2005 DATED 12/05/2005
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,25,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
15-JUN-2009
|
|
| 17 |
|
|
NETWORTH STOCK BROKING LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATION 7A (2) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF FAST TRACK ENTERTAINMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
28-JAN-2009
|
|
| 18 |
|
|
NETWORTH STOCK BROKING LTD.
(Member : OTC)
|
|
|
ALLEGED VIOLATION OF REGULATION 7A (2) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF FAST TRACK ENTERTAINMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
28-JAN-2009
|
|
| 19 |
|
|
NETWORTH STOCK BROKING LTD.
(Member : NSE)
|
|
|
ALLEGED VIOLATION OF REGULATION 7A (2) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF FAST TRACK ENTERTAINMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
28-JAN-2009
|
|
| 20 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATION 5 (E) READ WITH 5A OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.16,80,000 VIDE CONSENT ORDER)
09-FEB-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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