| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
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ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/OTC)
|
|
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DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT REDRESS INVESTOR COMPLAINTS
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED SEBI CODE OF CONDUCT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-APR-2009
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LTD. ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI'S WITHIN 30 DAYS
COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
INTERIM ORDER DATED 17/08/2007 MODIFIED AND ALLOWED TO OPEN NEW DP ACCOUNTS
INTERIM ORDER DATED 17/08/2007 MODIFIED AND ALLOWED TO ENTERING INTO NEW AGREEMENT AS RTA/STA
INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009
|
| 2 |
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ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Depository Participants : NSDL,Member : BSE/NSE/BGSE)
|
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ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
10-NOV-2009
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| 3 |
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BANK OF RAJASTHAN LTD.,THE
(Depository Participants : CDSL)
|
|
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ALLEGED VIOLATION OF REGULATIONS 20A, 41,42(1) AND 58 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996 IN MATTER OF BANK OF RAJASTHAN LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)
17-FEB-2009
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| 4 |
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CENTRAL BANK OF INDIA
(Depository Participants : CDSL)
|
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ALLEGED FAILURE IN COMPLIANCE WITH REGULATIONS 41,42(20,CLAUSES 4,15 AND 16 OF CODE OF CONDUCT UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN COMPLIANCE WITH SECTIONS 19B AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.SEBI/MRD/DOP/CIR-22/2004 DATED 14/07/2004
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-29/2004 DATED 24/08/2004
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-17/06 DATED 27/10/2006
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-22/06 DATED 18/12/2006
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.SEBI/MRD/DOP/DEP/CIR-03/2007 DATED 13/02/2007
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
16-FEB-2010
|
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| 5 |
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CENTURION BANK OF PUNJAB LTD.
(Depository Participants : CDSL)
|
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FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
29-JUL-2009
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 21/02/2007
AD-INTERIM EX PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.8,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 27/07/2009
|
| 6 |
|
|
DEVELOPMENT CREDIT BANK LTD.
(Depository Participants : CDSL)
|
|
|
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-22/06 DATED 18/12/2006
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-29/2004 DATED 24/08/2004
ALLEGED FAILURE IN COMPLIANCE WITH SECTION 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED FAILURE IN COMPLIANCE WITH REGULATIONS 42(2),54(4),CLAUSES 4,15 AND 16 OF CODE OF CONDUCT UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN COMPLIANCE WITH CLAUSES 5.3.3,13.8.1 AND 7.1.3 OF ANNEXURE B TO CDSL BYE LAWS, COMMUNIQUE NO.278 DATED 11/06/2003 AND OPERATING INSTRUCTIONS NOS.2.2.3, 2.4.6, 2.4.15, 2.4.25,3.4, 3.4.2,16.3,10.5.3,8.5.2 AND 4.4.15
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
02-MAR-2010
|
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| 7 |
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DINDAYAL BIYANI STOCK BROKERS LTD.
(Depository Participants : CDSL)
|
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FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
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| 8 |
|
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GUINESS SECURITIES LTD.
(PAN:AAACG9843L)
(Depository Participants : NSDL,Member : BSE/NSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME
ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD
ALLEGED CHARGING OF HIGHER BROKERAGE FROM CLIENTS TOWARDS PURCHASED AND SALE OF SHARES
ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING AND BORROWING FUNDS FOR TRANACTIONS OF CLIENTS AND CHARGING INTEREST
ALLEGED NON-COLLECTION OF MARGINS FROM CLIENTS AND PERMITTED THEM TO TRADE WITHOUT SUFFICIENT CASH BALANCE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
02-AUG-2011
|
|
| 9 |
|
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GUJARAT OLEO CHEM LTD.
(Depository Participants : NSDL)
|
|
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FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
DIRECTED TO DISGORGE RS.85,88,825
21-NOV-2006
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS TILL CONCLUSION OF ENQUIRY
DIRECTED TO DISGORGE AN AMOUNT OF RS.85,88,825.28 (SEVERALLY) AND RS.90,02,18,451.80 (JOINTLY WITH NSDL, JHAVERI SECURITIES PVT.LTD., KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., HDFC BANK LTD., KARVY STOCK BROKING LTD., ING VYSYA BANK LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 21/11/2006 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 10 |
|
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HDFC BANK LTD.
(PAN:AAACH2702H)
(Depository Participants : NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
DIRECTED TO DISGORGE RS.1,63,75,940
21-NOV-2006
|
DIRECTED TO DISGORGE AN AMOUNT OF RS.1,63,75,939.68 (SEVERALLY) AND RS.90,02,18,451.80 (JOINTLY WITH NSDL, JHAVERI SECURITIES PVT.LTD., KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., IDBI BANK LTD., KARVY STOCK BROKING LTD., ING VYSYA BANK LTD.AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 23/11/2006
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 21/11/2006 SET ASIDE WITH NO ORDER AS TO COSTS
REVOKED AD-INTERIM EX-PARTE ORDER DATED 27/04/2006, AS APPLICANT AGREED TO PAY RS.1,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 22/12/2008
|
| 11 |
|
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HSE SECURITIES LTD.
(Depository Participants : CDSL/NSDL,Member : BSE/NSE)
|
|
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ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE
ALLEGED FAILURE IN TRANSFER OF SECURITIES TO INVESTORS
ALLEGED REJECTION OF DEMAT REQUEST OF INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)
02-MAR-2009
|
|
| 12 |
|
|
INDIA INFOLINE LTD.
(PAN:AAACI7105D)
(Depository Participants : CDSL/NSDL)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 20A, 49, 54(4) AND 61 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996 IN MATTER OF INDIA INFOLINE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.75,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
05-JUN-2009
|
|
| 13 |
|
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INFINITE FINANCIAL SERVICES PVT.LTD.
(Depository Participants : NSDL)
|
|
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FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
24-JUL-2008
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 25/01/2007
APPLICANT AGREED TO PAY RS.4,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 24/07/2008
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| 14 |
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INFRASTRUCTURE LEASING & FINANCIAL SERVICES LTD.
(PAN:AAACI0989F)
(Depository Participants : CDSL/NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS TILL CONCLUSION OF ENQUIRY
|
| 15 |
|
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INFRASTRUCTURE LEASING & FINANCIAL SERVICES LTD.
(PAN:AAACI0989F)
(Depository Participants : CDSL/NSDL)
|
|
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ALLEGED OPENING OF MULTIPLE DEMATERIALIZED ACCOUNTS WITH COMMON ADDRESSES IN NAMES OF BENAMI OR FICTITIOUS ENTITIES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
22-JUL-2008
|
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| 16 |
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ING VYSYA BANK LTD.
(Depository Participants : NSDL)
|
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FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
DIRECTED TO DISGORGE RS.55,48,690
21-NOV-2006
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS TILL CONCLUSION OF ENQUIRY
DIRECTED TO DISGORGE AN AMOUNT OF RS.5548690.27 (SEVERALLY) AND RS.900218451.80 (JOINTLY WITH NSDL, KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., HDFC BANK LTD., KARVY STOCK BROKING LTD., IDBI BANK LTD., JHAVERI SECRITIES PVT.LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 21/11/2006 SET ASIDE WITH NO ORDER AS TO COSTS
AD-INTERIM EX PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 16/02/2009
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| 17 |
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INVENTURE GROWTH & SECURITIES LTD.
(PAN:AAACI2044K)
(Depository Participants : CDSL,Member : BSE/NSE)
|
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ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
07-JUN-2010
|
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| 18 |
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JHAVERI SECURITIES LTD.
(PAN:AAACJ4727A)
(Depository Participants : NSDL)
|
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KAMLESH JHAVERI
|
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FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE ACTING AS A SEBI REGISTERED INTERMEDIARY
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
DIRECTED TO DISGORGE RS.43,83,133
21-NOV-2006
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FOR A PERIOD OF NINE MONTHS COMMENCING FROM SEBI' ORDER DATED 27/04/2006
DIRECTED TO DISGORGE AN AMOUNT OF RS.43,83,133.10 (SEVERALLY) AND RS.90,02,18,451.80(JOINTLY WITH NSDL, KHANDWALA INTEGRATED FINANCIAL SERVICES PVT. LTD., HDFC BANK LTD., KARVY STOCK BROKING LTD., IDBI BANK LTD., ING VYSYA BANK LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
|
| 19 |
|
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KAMLESH JHAVERI
(Depository Participants : NSDL)
|
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JHAVERI SECURITIES LTD.
PAN:AAACJ4727A
(Depository Participants : NSDL)
|
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JHAVERI SECURITIES LTD.
PAN:AAACJ4727A
(Member : NSE/BSE)
|
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FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE ACTING AS A SEBI REGISTERED INTERMEDIARY
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED TO DISGORGE RS.10,96,97,338
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
22-DEC-2008
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FOR A PERIOD OF NINE MONTHS COMMENCING FROM SEBI' ORDER DATED 27/04/2006
DIRECTED TO DISGORGE AN AMOUNT OF RS.43,83,133.10 (SEVERALLY) AND RS.90,02,18,451.80(JOINTLY WITH NSDL, KHANDWALA INTEGRATED FINANCIAL SERVICES PVT. LTD., HDFC BANK LTD., KARVY STOCK BROKING LTD., IDBI BANK LTD., ING VYSYA BANK LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
|
| 20 |
|
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KARVY STOCK BROKING LTD.
(PAN:AABCK5190K)
(Depository Participants : NSDL)
|
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DUSHYANT NATWARLAL DALAL
PAN:AAAPD5859Q
|
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PULOMA DUSHYANT DALAL
PAN:AAEPD2909B
|
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FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS
27-APR-2006
DIRECTED TO DISGORGE RS.40,54,63,251
21-NOV-2006
|
DIRECTED TO DISGORGE AN AMOUNT OF RS.40,54,63,251.40 (SEVERALLY) AND RS.90,02,18,451.80 (JOINTLY WITH NSDL, HDFC BANK LTD., KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., IDBI BANK LTD., JHAVERI SECURITIES PVT.LTD., ING VYSYA BANK LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE LEAVING IT OPEN TO SEBI INITIATE FURTHER PROCEEDINGS IN ACCORDANCE WITH LAW WITH NO ORDER AS TO COSTS
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE AND CASE REMANDED TO SEBI WITH A DIRECTION TO PASS THREE SEPARATE ORDERS
SEBI VIDE ITS ORDER DATED 28/01/2014 PROHIBITED KARVY FROM TAKING UP ANY NEW ASSIGNMENT (I.E. NOT TO TAKE UP ANY NEW CLIENTS) FOR A PERIOD OF EIGHTEEN MONTHS.AS KARVY HAS ALREADY UNDERGONE SUCH PROHIBITION FOR 18 MONTHS AND 26 DAYS, NO FURTHER PENALTY IS IMPOSED
SEBI VIDE ITS ORDER DATED 14/03/2014, PROHIBITED KARVY FROM TAKING UP ANY NEW ASSIGNMMENT OR CONTRACT OR LAUNCH A NEW SCHEME (I.E.,NOT TO TAKE NEW CLIENTS/CUSTOMERS) FOR A PERIOD OF SIX MONTHS IN RESPECT OF ITS BUSINESS AS A STOCK BROKER
SAT: SAT VIDE ITS ORDER DATED 21/01/2015 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 14/03/2014 AND RESTORED THE FILE TO SEBI FOR PASSING A FRESH ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 15/06/2015 DIRECTED TO DISPOSE OFF THE PROCEEDINGS BY DIRECTING THE NOTICEE, KARVY STOCK BROKING LTD. NOT TO UNDERTAKE NEW PRIMARY MARKET ASSIGNMENT INCLUDING ACTING AS SYNDICATE MEMBER OR PROVIDING SYNDICATION SERVICES (PROCURING IPO APPLICATIONS AND BIDDING IN IPOS), DIRECTLY OR INDIRECTLY, IN IPOS FOR A PERIOD OF ONE YEAR. IN ORDER TO AVOID INCONVENIENCE TO ANY ISSUER/INTERMEDIARY, IT IS CLARIFIED THAT THIS DIRECTION SHALL NOT HINDER THE ACTIVITIES FOR WHICH THE NOTICEE WAS ALREADY ENGAGED FOR UNDERTAKING PRIMARY MARKET ACTIVITIES BEFORE THE DATE OF THIS ORDER
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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