| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
ACCORD CAPITAL MARKETS LTD.
(PAN:AACCA5695G)
(Member : NSE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARUNA CABLES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2005 TILL FURTHER ORDERS
29-NOV-2005
|
CONFIRMED INTERIM ORDER DATED 29/11/2005
|
| 122 |
|
|
ACE SECURITIES PVT.LTD.
(Member : OTC)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-JUN-2004
22-JUN-2004
|
|
| 123 |
|
|
ACHARYA SECURITIES PVT.LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 124 |
|
|
ACHIEVERS COMMERCIAL PVT.LTD.
(PAN:AAGCA6464R)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-DEC-2023 TO 11-MAR-2024
12-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/05/2024 DISPOSED OF ALL MISC.APPLICATION AND STAYED IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 125 |
|
|
ACHINTYA COMMODITIES PVT.LTD.
(PAN:AAJCA1602L)
(Member : MCX/NCDEX)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
IMPOSED PENALTY RS.1,00,000
13-DEC-2019
|
|
| 126 |
|
|
ACHINTYA SECURITIES PVT.LTD.
(PAN:AAFCM2199G)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 127 |
|
|
ACHINTYA SECURITIES PVT.LTD.
(PAN:AAFCM2199G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 20/02/2016 QUASHED AND SET ASIDED IMPUGNED EX-PARTE AD-INTERIM ORDER DATED 17/02/2016. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 128 |
|
|
ACME SHARES & STOCK PVT.LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ALLOWING SUB BROKER TO TRADE IN SCRIP OF SAWACA COMMUNICATIONS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-JAN-2006
|
|
| 129 |
|
|
ACME SHARES & STOCK PVT.LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-OCT-2004
|
|
| 130 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Depository Participants : CDSL,Member : BSE)
|
|
|
DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
DID NOT UPLOAD DETAILS OF CLIENT TO STOCK EXCHANGE UNDER FUNDS AND SECURITIES MODULE OF ENHANCED SUPERVISION
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
DID NOT UPLOAD SCANNED IMAGES OF KYC DOCUMENTS ON KRA
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
|
IMPOSED PENALTY RS.2,50,000
30-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 28/09/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/02/2022 ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 06/04/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 131 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Member : BSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
20-FEB-2002
|
|
| 132 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.3,00,000
10-AUG-2011
|
|
| 133 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Member : BSE/CSE/MCX)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.3,00,000
10-AUG-2011
|
|
| 134 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Member : NSE/BSE/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
|
|
| 135 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 136 |
|
|
ACQUITOR TRADING & INVESTMENT LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-NOV-2009 TO 19-MAY-2010
29-OCT-2009
|
|
| 137 |
|
|
ACROSS BROKING PVT.LTD.
(PAN:AAGCA8645J)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 138 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HIGHLAND INDUSTRIES LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF HIGHLAND INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
16-NOV-2009
|
|
| 139 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (1) TO A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF G-TECH INFO TRAINING LTD.
|
IMPOSED PENALTY RS.50,000
24-MAY-2012
|
|
| 140 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BGSE/BSE/OTC/NSE)
|
|
|
VIOLATED CLAUSE A (2) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 UNDER REGULATION 7 OF STOCK BROKER REGULATIONS WHILE DEALING IN SCRIP OF SHUKUN CONSTRUCTION LTD.
|
IMPOSED PENALTY RS.3,00,000
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
23-APR-2009
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SEBI VIDE ITS ORDER DATED 20/08/2014 WARNED THE NOTICEE TO BE CAREFUL AND CAUTIOUS IN THE CONDUCT OF BUSINESS AND TO ADHERE TO AND COMPLY WITH ALL STATUTORY PROVISIONS WHILE CARRYING OUT ITS ACTIVITIES IN SECURITIES MARKET
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 7 of 442
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