| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
CHOICE EQUITY BROKING PVT.LTD.
(PAN:AADCC8390B)
(Member : BSE/MCX)
|
|
|
DID NOT INCLUDE BRANCH OFFICE FIREWALLS AT MULTIPLE LOCATIONS IN THE LIST OF CRITICAL ASSETS VIOLATING SECTION 2 OF PARA 11 OF SEBI CIRCULAR NO.SEBI/HO/MIRSD/TPD/P/CIR/2022/80 DATED 07/06/2022
|
IMPOSED PENALTY RS.1,00,000
30-OCT-2025
|
|
| 202 |
|
|
CHOICE EQUITY BROKING PVT.LTD.
(PAN:AADCC8390B)
(Member : MSEI/BSE/NSE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF WOMEN’S NEXT LOUNGERIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGE AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF WOMEN’S NEXT LOUNGERIES LTD.
|
IMPOSED PENALTY RS.2,00,000
28-FEB-2018
|
|
| 203 |
|
|
CHOICE EQUITY BROKING PVT.LTD.
(PAN:AADCC8390B)
(Member : NSE/MCX)
|
|
|
ALLOWED TERMINAL TO UNAUTHORISED USERS
MOVED FUNDS BETWEEN CLIENT AND AUTHORIZED PERSON
AUTHORIZED PERSON NOT WORKING FROM ADDRESS PROVIDED TO STOCK EXCHANGES
DID NOT REPORT CLIENTS MAPPED TO AUTHORIZED PERSONS
|
IMPOSED PENALTY RS.2,00,000
09-OCT-2024
|
SEBI VIDE ITS NOTICE DATED 01/01/2025 DIRECTED TO PAY RS.2,09,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 16/01/2025 CANCELLED THE RECOVERY CERTIFICATE NO.8494 OF 2025 DATED 01/01/2025
|
| 204 |
|
|
CIL SECURITIES LTD.
(PAN:AAACC9564C)
(Member : NSE)
|
|
|
|
K.K.MAHESHWARI
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF CORRECTION NOTE BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT EXERCISE DUE CARE AND DILIGENCE BY OVER SIGHTING TRANSACTIONS DONE ON TRADING TERMINALS GRANTED TO SUB BROKERS
|
IMPOSED PENALTY RS.1,00,000
27-NOV-2006
|
|
| 205 |
|
|
CLEAN FINANCE & INVESTMENT LTD.
(PAN:AAACC0082D)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND STRUCTURED DEALS IN SCRIP OF JINDAL STAINLESS LTD.
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 FOR SUB-BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JINDAL STAINLESS LTD.
|
IMPOSED PENALTY RS.50,000
28-FEB-2011
|
|
| 206 |
|
|
CLEAN FINANCE & INVESTMENT LTD.
(PAN:AAACC0082D)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF BSEL INFRASTRUCTURE REALTY LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BSEL INFRASTRUCTURE REALTY LTD.
|
IMPOSED PENALTY RS.2,00,000
31-AUG-2012
|
|
| 207 |
|
|
COMFORT SECURITIES LTD.
(PAN:AABCC9625R)
(Member : NSE/MCX/BSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DID NOT UPLOAD CLIENT BANK ACCOUNT DETAILS TO STOCK EXCHANGE
DID NOT UPLOAD PLEDGED SHARES OF CLIENTS AS PER ENHANCED SUPERVISION REQUIREMENT
DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION
DID NOT FOLLOW NORMS FOR NOMENCLATURE OF ACCOUNTS
DID NOT PERFORM PERIODIC RECONCILIATION OF BACK OFFICE HOLDINGS OF CLIENT’S SECURITIES WITH ACTUAL STOCKS LYING IN DP ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT MAINTAIN PRESCRIBED GAP OF 90 DAYS BETWEEN TWO SETTLEMENT
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
FUNDED CLIENTS OUTSIDE OF MARGIN TRADING FACILITY BEYOND T+2+5 DAYS
MISMATCHED CLIENTS EMAIL IDS AND/OR MOBILE NUMBERS
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
REPORTED WRONG NET WORTH TO EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT-WISE LEDGERS FOR FUNDS AND SECURITIES OF CLIENTS FOR MARGIN TRADING FUNDING (MTF) TRANSACTIONS
DID NOT ADHERE TO LEVERAGE AND EXPOSURE LIMITS AS PRESCRIBED WHILE GRANTING MARGIN TRADING FACILITY
DISCREPANCIES IN PLEDGE TRANSACTIONS
DID NOT SEND STATEMENT OF PLEDGE & FUNDS RAISED TO CLIENTS AS AND WHEN SECURITIES ARE PLEDGED/UNPLEDGED
MADE INCORRECT RETENTION STATEMENT
DID NOT MAINTAIN DAILY RECONCILIATION STATEMENT
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
DELAY IN UPLOADING KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
DID NOT UPLOAD KYC DATA WITH CKYCR
DISCREPANCIES IN PLEDGE/UN-PLEDGE/CONFISCATION PROCESS
ALLOWED TERMINAL TO UNAUTHORISED USERS
DID NOT DISPLAY INFORMATION OF GRIEVANCE REDRESSAL MECHANISM AT AUTHORISED PERSON OFFICES
|
IMPOSED PENALTY RS.7,00,000
28-MAY-2021
|
|
| 208 |
|
|
COMPOSITE INVESTMENTS PVT.LTD.
(PAN:AAACC7373B)
(Depository Participants : CDSL,Member : NSE/BSE/MSEI)
|
|
|
WRONG NOMENCLATURE IN CLIENT AND SETTLEMENT BANK ACCOUNTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DID NOT OBTAIN RUNNING ACCOUNTS AUTHORIZATION FORMS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
FUNDED CLIENTS OUTSIDE OF MARGIN TRADING FACILITY BEYOND T+2+5 DAYS
DID NOT UPLOAD CORRECT AND COMPLETE DETAILS OF CLIENTS TO UCC DATABASE
DISCREPANCIES IN CALCULATION OF NET WORTH
DID NOT FETCH KYC DETAILS FROM KRA
DID NOT DONE SECOND LEVEL AUTHENTICATION
WRONG REASON FOR UPDATION FOR OFF MARKET TRANSFERS IN 2 INSTANCES
DID NOT SUBMIT CONCURRENT AUDIT REPORT IN CDSL PRESCRIBED FORMAT
DELAY IN SETTLING ACCOUNTS OF INACTIVE CLIENTS
|
IMPOSED PENALTY RS.5,00,000
29-SEP-2020
|
|
| 209 |
|
|
CONCEPT SECURITIES PVT.LTD.
(PAN:AABCC6956F)
(Depository Participants : CDSL,Member : BSE/NSE/MCX)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
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
|
IMPOSED PENALTY RS.4,00,000
18-MAR-2021
|
|
| 210 |
|
|
CONSORTIUM CAPITAL PVT.LTD.
(PAN:AACCC3631N)
(Member : NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
IMPOSED PENALTY RS.1,00,000
27-APR-2021
|
|
| 211 |
|
|
CONSORTIUM SECURITIES PVT.LTD.
(PAN:AAACC5554G)
(Member : NSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
|
IMPOSED PENALTY RS.1,35,000
29-JUL-2005
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE
|
| 212 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE/BSE/MSEI)
|
|
|
|
ANUJ GARG
PAN:AHEPG5644F
|
|
|
DINESH KUMAR
PAN:ABKPK0853A
|
|
|
PAWAN KUMAR GARG
DIN:0, , , ,
PAN:AAPPG1517R
|
|
|
SHASHI GARG
PAN:AIGPG7786F
|
|
DID NOT CAPTURE INCOME DETAILS OF CLIENTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT FOLLOW NORMS FOR NOMENCLATURE OF ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS
|
IMPOSED PENALTY RS.4,00,000
22-MAY-2023
|
SEBI VIDE ITS NOTICE DATED 14/09/2023 DIRECTED TO PAY RS.4,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/01/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 09/09/2025 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 10/01/2025
SEBI VIDE ITS ORDER DATED 09/09/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7156 OF 2023 DATED 14/09/2023
|
| 213 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
(Member : NSE)
|
|
|
CONNECTED TO SECONDARY SERVER WITHOUT ANY SUFFICIENT REASON DURING INVESTIGATION PERIOD VIOLATING NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH POINT 2(A) OF CHAPTER V OF NSE BYE-LAWS READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ACCESSING SECONDARY SERVER OF NSE COLOCATION IN LINE WITH INSTRUCTION OF NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES VIOLATING CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
CONNECTED TO SECONDARY SERVER REPEATEDLY WITHOUT VALID REASON VIOLATING REGULATIONS 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF NSE CO-LOCATION FACILITY
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY OF SEBI
|
IMPOSED PENALTY RS.12,00,000
16-APR-2021
|
SEBI VIDE ITS NOTICE DATED 20/04/2022 DIRECTED TO PAY RS.13,57,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 10/05/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 20/05/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF CPR CAPITAL SERVICES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 214 |
|
|
CREDAVENUE SECURITIES PVT.LTD.
(PAN:AAICC9126C)
(Member : BSE)
|
|
|
DID NOT ENSURE THAT ALL THE ORDERS PLACED ON ONLINE BOND PLATFORM WITH RESPECT TO LISTED DEBT SECURITIES WERE ROUTED THROUGH REQUEST FOR QUOTE PLATFORM OF RECOGNIZED STOCK EXCHANGES
DID NOT ENSURE THAT ALL THE ORDERS PLACED ON ONLINE BOND PLATFORM WITH RESPECT TO LISTED SOVEREIGN GOLD BONDS WERE ROUTED AND SETTLED THROUGH STOCK EXCHANGE MECHANISM
|
IMPOSED PENALTY RS.1,00,000
04-APR-2025
|
|
| 215 |
|
|
CROSSEAS CAPITAL SERVICES PVT.LTD.
(PAN:AACCC5470H)
(Member : BSE/NSE/MSEI)
|
|
|
CONNECTED SECONDARY SERVER IN CASH MARKET SEGMENT WITH ITS EVEN ATTEMPTING TO CONNECT TO PRIMARY SERVER VIOLATING CLAUSE A(2) OF CODE OF CONDUCT AS SPECIFIED IN SCHEDULE II OF REGULATIONS 9 READ WITH 26(XVI) OF SEBI (STOCK BROKER AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.3,00,000
25-NOV-2020
|
|
| 216 |
|
|
CROSSEAS CAPITAL SERVICES PVT.LTD.
(PAN:AACCC5470H)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
DIRECTED TO REVIEW ITS SYSTEMS AND TO TAKE APPROPRIATE STEPS TO AVOID SELF TRADES AND OTHER CATEGORIES OF TRADES PROHIBITED UNDER SEBI REGULATIONS / GUIDELINES
IMPOSED PENALTY RS.5,00,000
13-NOV-2014
|
SAT: SAT VIDE ITS ORDER DATED 31/03/2016 PERMITTED APPELLANT TO WITHDRAW THE APPEALS AND PERMITTED AO TO PASS COMPOSITE ORDER ON THE ISSUE RELATING TO RELEVANCY OF DOCUMENTS. NO COSTS
|
| 217 |
|
|
CROSSEAS CAPITAL SERVICES PVT.LTD.
(PAN:AACCC5470H)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF TRADES IN SCRIP OF ESS DEE ALUMINIUM LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ESS DEE ALUMINIUM LTD.
|
IMPOSED PENALTY RS.25,00,000
27-MAR-2015
|
SAT: SAT VIDE ITS ORDER DATED 31/03/2016 PERMITTED APPELLANT TO WITHDRAW THE APPEALS AND PERMITTED AO TO PASS COMPOSITE ORDER ON THE ISSUE RELATING TO RELEVANCY OF DOCUMENTS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 10/02/2017 QUASHED AND SET ASIDED IMPUGNED ORDER AND REMANDED TO SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 10/02/2017 QUASHED AND SET ASIDED IMPUGNED ORDER AND REMANDED TO SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 218 |
|
|
DANI SHARES & STOCKS PVT.LTD.
(CIN:U67120MH1992PTC069300)
(Member : BSE/NSE)
|
|
|
ALLEGED VIOLATION OF CLAUSES A (1), (2), (3), (4) AND (5) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 WHILE DEALING IN SCRIP OF VIJAY TEXTILES LTD.
|
IMPOSED PENALTY RS.50,000
20-APR-2009
|
|
| 219 |
|
|
DANI SHARES & STOCKS PVT.LTD.
(CIN:U67120MH1992PTC069300)
(Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
PLEDGED SHARES IN EXCESS OF INDEBTEDNESS ON DATE OF OD BORROWING
|
IMPOSED PENALTY RS.1,00,000
25-FEB-2020
|
|
| 220 |
|
|
DANI SHARES & STOCKS PVT.LTD.
(CIN:U67120MH1992PTC069300)
(Member : NSE/BSE/MCX)
|
|
|
MISUTILIZED COLLATERALS/SECURITIES OF ITS CLIENTS BY TRANSFERRING FUNDS/SECURITIES FROM CLIENT ACCOUNT TO ANOTHER ACCOUNT/OWN ACCOUNT
|
IMPOSED PENALTY RS.8,00,000
09-MAY-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 11 of 48
|
