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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.

COMPANIES: VIOLATED SEBI (CERTIFICATION OF ASSOCIATED PERSONS IN SECURITIES MARKETS) REGULATIONS, 2007

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

(PAN:AAECD6486C)  
  ALLEGED FAILURE TO ENSURE TO OBTAIN NISM CERTIFICATION WITHIN ONE YEAR FROM THE DATE OF EMPLOYED OR ENGAGED  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

31-JUL-2024
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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