| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 361 |
|
SHILPA STOCK BROKER PVT.LTD.
(PAN:AAECS9799R)
(Member : NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN FUTURE AND OPTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
23-OCT-2008
|
|
| 362 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(PAN:AAECS9799R)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN FURNISHING OF INFORMATION , DELAY IN DEMATERIALISATION OR ISSUE OF CERTIFICATE OF SECURITIES VIOLATING REGULATION 19A, 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED FAILURE IN OPENING OF SEPARATE ACCOUNTS IN NAME OF EACH BENEFICIAL OWNER AND DID NOT FURNISH DETAILS OF SURRENDER OF SECURITIES TO ISSUER ALONGWITH CERTIFICATE OF SECURITY VIOLATING REGULATION 42(1) AND 54(4) OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
10-FEB-2010
|
|
| 363 |
|
|
SHREE BAHUBALI INTERNATIONAL LTD.
(PAN:AAECS4019E)
(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
|
|
| 364 |
|
|
SHRI PARASRAM HOLDINGS PVT.LTD.
(PAN:AAACS4487J)
(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
|
|
| 365 |
|
|
SHRI PARASRAM HOLDINGS PVT.LTD.
(PAN:AAACS4487J)
(Depository Participants : NSDL,Member : NSE/BSE)
|
|
|
ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS
ALLEGED SUBMISSION OF FALSE INFORMATION TO INSPECTION OFFICIALS
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED NON-DISCLOSURE OF PROPRIETARY TRADING TO CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED TRANSFER OF TRADES FROM ONE PRO-ACCOUNT TO ANOTHER PRO-ACCOUNT
ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE IN MAINTENANCE OF DETAILS OF BRANCHES AND TRADING TERMINALS
ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE WHILE OPENING BENEFICIAL OWNER ACCOUNTS
ALLEGED INDULGENCE IN WITHDRAWAL OF LARGE CASH AND DEPOSIT IN GROUP COMPANY
ALLEGED FAILURE IN FRAMING ANY POLICY FRAMEWORK AND DID NOT APPOINT ANY PRINCIPAL OFFICER UNDER ANTI MONEY LAUNDERING STANDARDS
ALLEGED DISCREPANCIES IN DISTRIBUTION OF NEAT/CTSL TERMINALS AND ILLEGAL DISTRIBUTION OF TRADING TERMINALS AT BRANCHES
ALLEGED OPERATING TERMINALS FROM UNDISCLOSED PREMISES AND BY UNAUTHORISED USERS AT BRANCHES
ALLEGED PERMISSION TO DEALERS WITHOUT NCFM CERTIFICATION TO DEAL IN DERIVATIVE TRADING
ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.53,00,000 VIDE CONSENT ORDER)
06-SEP-2010
|
|
| 366 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION AND IRREGULAR TRANSACTIONS IN SCRIP OF OJAS TECHNOCHEM PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
03-MAR-2008
|
|
| 367 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
ALLEGED IRREGULAR TRANSACTIONS IN SCRIP OF BLUE INFORMATION TECHNOLOGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 368 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
ALLEGED NON-MAINTENANCE OF CONSENT OF CLIENTS IN RESPECT OF CONTRACTS
ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES
ALLEGED DELAY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE TO REPORT OFF-THE-FLOOR TRANSACTIONS
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED FAILURE IN MAINTENANCE OF CERTAIN BOOKS OF ACCOUNTS AND RECORDS SUCH AS ORDER BOOK, MARGIN DEPOSIT BOOK, REGISTER OF ACCOUNT OF SUB BROKER
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
05-FEB-2008
|
|
| 369 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SAWACA COMMUNICATIONS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE IN CONDUCT OF BUSINESS IN MATTER OF SAWACA COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
10-AUG-2010
|
|
| 370 |
|
|
SHRIKANT G.MANTRI,M/S
(Member : BSE)
|
|
|
|
SHRIKANT G.MANTRI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NEDUNGADI BANK LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE DURING TRADE IN SCRIP OF NEDUNGADI BANK LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-MAY-2007 TO 06-AUG-2007
16-APR-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
26-MAY-2008
|
SAT: AGREED TO PAY RS.7,75,000 AS PER CONSENT ORDER DATED 26/05/2008
|
| 371 |
|
|
SIC STOCKS & SERVICES PVT.LTD.
(PAN:AAHCS8176P)
(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
|
|
| 372 |
|
|
SINGHAL CAPITAL SERVICES LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRNSACTIONS IN SCRIP OF KAJARIA CERAMICS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH 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 KAJARIA CERAMICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
31-MAR-2010
|
|
| 373 |
|
|
SINO SECURITIES
(Member : DSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES, NOT COMPLIED WITH STATUTORY REQUIREMENTS AND FILING FALSE OR MISLEADING RETURNS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) AND C(6) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
26-OCT-2009
|
|
| 374 |
|
|
SKI CAPITAL SERVICES LTD.
(PAN:AAACS4864K)
(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
|
|
| 375 |
|
|
SKSE SECURITIES LTD.
(PAN:AAFCS1539J)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DEAFULT IN ISSUANCE OF CONTRACT NOTE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND B(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED FAILURE IN MAINTAINING UNIFORMITY IN DOCUMENTS REQUIRED FOR TRADING VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/DPS-1/CIR31/2004 DATED 26/08/2004
ALLEGED VIOLATION OF REGULATIONS 26(III),(V),(VII),(XII),(XIII) AND (XX) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
12-APR-2010
|
|
| 376 |
|
|
SKUNG TRADELINK LTD.
(PAN:AAOCS2485A)
(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.2,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 377 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : LSE/OTC/NSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING HIGH STANDARDS OF INTEGRITY, PROMPTITUDE AND FAIRNESS IN CONDUCT OF BUSINESS AND DID NOT ACT WITH DUE SKILL, CARE AND DILIGENCE
ALLEGED PORTRAYAL OF NEGATIVE AND BEARISH OUTLOOK OF MARKET TO ITS CLIENTS
ALLEGED LARGE SCALE UNAUTHORIZED DISTRIBUTION OF TERMINALS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED FAILURE IN EXERCISING DUE CAUTION WHILE EXECUTING LARGE ORDERS ON BEHALF OF CLIENT
ALLEGED PROPRIETARY TRADING FROM MORE THAN ONE LOCATION
ALLEGED UNAUTHORIZED PERSONS OPERATING PROPRIETARY ACCOUNT ACTIVATED TERMINALS
ALLEGED UNAUTHORIZED DIVERSION OF BROKERAGE INCOME
ALLEGED DEALING THROUGH MORE THAN ONE BROKER AND NOT REPORTED OFF-THE-FLOOR TRANSACTIONS TO EXCHANGE
ALLEGED FAILURE IN COLLECTION OF MARGIN FROM CLIENTS
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED NON-SEGREGATION OF CLIENT FUNDS FROM BROKERS FUNDS
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
ALLEGED PLACING OF ADVERTISEMENTS IN NEWSPAPERS SOLICITING BUSINESS
ALLEGED CHANGE OF CONSTITUTION WITHOUT PRIOR PERMISSION FROM SEBI
ALLEGED NON-DISCLOSURE OF PROPRIETARY TRADING TO CLIENTS
ALLEGED DEALING WITH SUB BROKERS NOT HAVING GOOD FINANCIAL STANDING
ALLEGED IRREGULARITIES IN ISSUE OF PREFERENCE SHARE CAPITAL
ALLEGED NON-MAINTENANCE OF GENERAL CORRESPONDENCE FILE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
08-AUG-2008
|
|
| 378 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
05-JUN-2009
|
|
| 379 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : LSE/NSE/OTC)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
ALLEGED IRREGULARITIES IN MAINTENANCE OF ACKNOWLEDGEMENT COPY OF CONTRACT NOTE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
30-APR-2008
|
|
| 380 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : LSE/NSE/BSE/OTC)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION VIOLATING REGULATIONS 4(1),4(2)(A),4(2)(B),4(2)(E),4(2)(G) AND 4(2)(N) OF SEBI (PFUTP) REGULATIONS, 2003 IN SCRIP OF JUBILANT ORGANOSYS LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH 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 JUBILANT ORGANOSYS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
15-SEP-2009
|
|
| 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 19 of 22
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