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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 07-AUG-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: COMMITTED IRREGULARITIES IN MAINTENANCE OF CLIENT REGISTRATION/DATABASE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person SHRIKANT G.MANTRI,M/S

(Member : BSE)  
Click here to view complete history of this specific entity/person 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 		 
22
History of entity/person 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 		 
23
History of entity/person 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 		 
24
History of entity/person SMIFS SECURITIES LTD.

(Member : CSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES

ALLEGED FAILURE IN MAINTENANCE OF CLIENT DATABASE   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

17-SEP-2008 		 
25
History of entity/person TRANSWORLD SECURITIES LTD.

(Depository Participants : NSDL,Member : NSE/BSE)  
  ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES

ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS

ALLEGED FAILURE IN TAKING PROOF OF IDENTITY AND ADDRESS OF ITS CLIENTS WHILE OPENING BENEFICIARY ACCOUNTS

ALLEGED FAILURE IN MAINTENANCE OF NOMINATION REGISTER

ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES

ALLEGED FAILURE IN APPOINTMENT OF NCFM CERTIFIED PERSONS IN SOME OF ITS BRANCHES

ALLEGED DELAY IN SUBMISSION OF ANNUAL ACCOUNTS AND NETWORTH CERTIFICATE TO NSDL

ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)

27-MAY-2011 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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