| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1221 |
|
UPENDRAKUMAR GOVINDBHAI PATEL
(Authorised Person of SMC GLOBAL SECURITIES LTD., Member : NSE)
|
|
|
|
PATEL UPENDRAKUMAR GOVINDBHAI,M/S
(Authorised Person of SMC GLOBAL SECURITIES LTD., Member : NSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
16-FEB-2012
|
|
| 1222 |
|
|
URMILA NILESH PANDIT
(Authorised Person of MANGAL KESHAV SECURITIES LTD., Member : NSE)
|
|
|
|
URMILA NILESH PANDIT,M/S
(Authorised Person of MANGAL KESHAV SECURITIES LTD., Member : NSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
16-FEB-2012
|
|
| 1223 |
|
|
URMILA NILESH PANDIT,M/S
(Authorised Person of MANGAL KESHAV SECURITIES LTD., Member : NSE)
|
|
|
|
URMILA NILESH PANDIT
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
16-FEB-2012
|
|
| 1224 |
|
|
UTTAM CHAND JAIN
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE/BSE)
|
|
|
|
UTTAM CHAND JAIN,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE/BSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
29-DEC-2018
|
|
| 1225 |
|
|
UTTAM CHAND JAIN,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE/BSE)
|
|
|
|
UTTAM CHAND JAIN
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
29-DEC-2018
|
|
| 1226 |
|
|
V B FINANCIAL SERVICES
(Authorised Person of MANGAL KESHAV SECURITIES LTD., Member : NSE)
|
|
|
|
BHARAT SHAH
|
|
AUTHORISED PERSON REGISTRATION TERMINATED BY BROKER
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
21-MAR-2012
|
|
| 1227 |
|
|
V S A TRADING CO.PVT.LTD.
(Authorised Person of BRICS SECURITIES LTD., Member : NSE)
|
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
28-JUN-2013
|
|
| 1228 |
|
|
VAIBHAV MISRA
(Authorised Person of KARVY STOCK BROKING LTD., Member : NSE)
|
|
|
|
VAIBHAV MISRA,M/S
(Authorised Person of KARVY STOCK BROKING LTD., Member : NSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
20-APR-2012
|
|
| 1229 |
|
|
VAIBHAV MISRA,M/S
(Authorised Person of KARVY STOCK BROKING LTD., Member : NSE)
|
|
|
|
VAIBHAV MISRA
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
20-APR-2012
|
|
| 1230 |
|
|
VAIBHAV PERIWAL
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE/BSE)
|
|
|
|
VAIBHAV PERIWAL,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE/BSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
29-DEC-2018
|
|
| 1231 |
|
|
VAIBHAV PERIWAL,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE/BSE)
|
|
|
|
VAIBHAV PERIWAL
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
29-DEC-2018
|
|
| 1232 |
|
|
VAIBHAV SARDA
(Authorised Person of KOTAK SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
VAIBHAV SARDA,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : BSE/NSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
02-JAN-2019
|
|
| 1233 |
|
|
VAIBHAV SARDA,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
VAIBHAV SARDA
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
02-JAN-2019
|
|
| 1234 |
|
|
VAISHALI A.KARPE
(Authorised Person of LABDHI FINANCE CORP., Member : NSE, L.F.C.SECURITIES PVT.LTD., Member : BSE)
|
|
|
|
VAISHALI A.KARPE,M/S
(Authorised Person of LABDHI FINANCE CORP., Member : NSE, L.F.C.SECURITIES PVT.LTD., Member : BSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
03-SEP-2014
|
|
| 1235 |
|
|
VAISHALI A.KARPE,M/S
(Authorised Person of LABDHI FINANCE CORP., Member : NSE, L.F.C.SECURITIES PVT.LTD., Member : BSE)
|
|
|
|
VAISHALI A.KARPE
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
03-SEP-2014
|
|
| 1236 |
|
|
VAKEEL AHMED
(PAN:AKMPA8018J)
(Authorised Person of F6 FINSERVE PVT. LTD., Member : BSE)
|
|
|
|
VAKEEL AHMED,M/S
PAN:AKMPA8018J
(Authorised Person of F6 FINSERVE PVT. LTD., Member : BSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON FROM 04-MAY-2018
04-MAY-2018
|
|
| 1237 |
|
|
VAKEEL AHMED,M/S
(PAN:AKMPA8018J)
(Authorised Person of F6 FINSERVE PVT. LTD., Member : BSE)
|
|
|
|
VAKEEL AHMED
PAN:AKMPA8018J
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON FROM 04-MAY-2018
04-MAY-2018
|
|
| 1238 |
|
|
VANDANA GUPTA
(Authorised Person of KOTAK SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
VANDANA GUPTA,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : BSE/NSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
02-JAN-2019
|
|
| 1239 |
|
|
VANDANA GUPTA,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : BSE/NSE)
|
|
|
|
VANDANA GUPTA
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
02-JAN-2019
|
|
| 1240 |
|
|
VANDANA LATH
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE/BSE)
|
|
|
|
VANDANA LATH,M/S
(Authorised Person of KOTAK SECURITIES LTD., Member : NSE/BSE)
|
|
NO LONGER AFFILIATED AS AUTHORISED PERSON
|
CANCELLED REGISTRATION AS AUTHORISED PERSON
10-JAN-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 62 of 66
|
