| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
SWASTIKA INVESTMART LTD.
(PAN:AABCS6585J)
(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.6,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 402 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF JINDAL POLYESTER 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 JINDAL POLYESTER LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
11-SEP-2009
|
|
| 403 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : NSE)
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS FROM 18-JUN-2007 TILL FURTHER ORDERS
18-JUN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
07-OCT-2008
|
AD INTERIM EX-PARTE CEASE AND DESIST ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,00,000 AS PER CONSENT ORDER DATED 07/10/2008
|
| 404 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
20-MAR-2009
|
|
| 405 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN SYNCHRONIZED TRANSACTIONS IN SCRIP OF GRANULES INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
29-DEC-2008
|
|
| 406 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF TODAY’S WRITING PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
03-JUN-2009
|
|
| 407 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH STRUCTURED, SELF AND CIRCULAR TRADES IN SCRIP OF TASC PHARMACEUTICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
11-JAN-2011
|
|
| 408 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GRAVITY INDIA LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, 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 GRAVITY INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
09-OCT-2009
|
|
| 409 |
|
|
TATA SECURITIES LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED PERMISSION TO CLIENTS TO TAKE HUGE POSITIONS WITHIN ONE MONTH OF REGISTRATION VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RTS POWER CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
06-JUL-2011
|
|
| 410 |
|
|
TAUGA PVT.LTD.
(PAN:AADCO0353Q)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN ILLEGAL ACTIVITIES BY PROVIDING UNREGULATED ONLINE TRADING PLATFORM FOR TRADING IN FOREX DERIVATIVES
ALLEGED FAILURE IN INFORMING EITHER SEBI OR BSE ABOUT SEARCHES CONDUCTED BY ENFORCEMENT DIRECTORATE AT SEVERAL OF ITS PREMISES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.32,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO SURRENDER THE REGISTRATION AS STOCK BROKER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO APPLY FOR ANY REGISTRATION WITH SEBI) FROM 18-JUL-2025 TO 17-JUL-2030
18-JUL-2025
|
|
| 411 |
|
|
THAKKAR STOCK BROKERS PVT.LTD.
(Member : VSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED INDULGENCE IN CREATION OF FALSE MARKET IN SCRIP OF AXEL POLYMERS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
31-MAR-2009
|
|
| 412 |
|
|
THAR SHARE BROKERS PVT.LTD.
(PAN:AACCT0147Q)
(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
|
|
| 413 |
|
|
TRADEBULLS SECURITIES PVT.LTD.
(PAN:AADCT2020P)
(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
|
|
| 414 |
|
|
TRAMBAKLAL RATILAL PAREKH & SONS SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF CODE OF CONDUCT FOR STOCK BROKERS
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RECRON SYNTHETICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
27-APR-2009
|
|
| 415 |
|
|
TRANS SCAN SECURITIES PVT.LTD.
(PAN:AAACT9239M)
(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
|
|
| 416 |
|
|
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
|
|
| 417 |
|
|
TRIUMPH SECURITIES LTD.
(PAN:AAACT2152P)
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE , 1997 IN MATTER OF ACQUISITION OF SHARES OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
24-JAN-2008
|
|
| 418 |
|
|
TRUSTLINE SECURITIES LTD.
(PAN:AAACK1251G)
(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
|
|
| 419 |
|
|
UNICON SECURITIES PVT.LTD.
(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)
(Member : BSE/NSE)
|
|
|
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
23-MAY-2011
|
|
| 420 |
|
|
UNIQUE STOCKBRO PVT.LTD.
(PAN:AAACU2884M)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,00,000 VIDE CONSENT ORDER)
22-JUL-2010
|
|
| 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 21 of 22
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