| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
GREENBUCKS SECURITIES PVT.LTD.
(PAN:AADCG6149A)
|
|
|
DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 28/07/2023 DIRECTED TO PAY RS.5,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 22/08/2023 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 15/09/2023 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 22/08/2023
SEBI VIDE ITS ORDER DATED 15/09/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7018 OF 2023 DATED 28/07/2023
|
| 42 |
|
|
GRISHMA SECURITIES PVT.LTD.
(PAN:AABCG1300K)
|
|
|
|
CHANDRIKA H.GANDHI
PAN:AAMPG4546M
|
|
|
CHHABIL C.SHAH
PAN:AIXPS6956J
|
|
|
KETAN C.SHAH
PAN:AIWPS3413R
|
|
|
MIHIR GHELANI
PAN:AACPG7986K
|
|
INDULGED IN MANIPULATION OF CLIENT LEDGER AND NON-COLLECTION OF ADEQUATE MARGINS FROM WALK-IN CLIENT PRIOR TO ENTERING OF TRADES BY CLIENT VIOLATING SECTIONS 12A(A) TO 12A(D) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(C), 4(1), 4(2)(A), 4(2)(D) AND 4(2)(P) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF TIJARIA POLYPIPES LTD.
DID NOT MAINTAIN 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 READ WITH REGULATIONS 26(XIII) AND 26(XVI) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF IPO OF TIJARIA POLYPIPES LTD.
|
IMPOSED PENALTY RS.20,00,000
30-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 17/09/2021 ALLOWED RESPONDENT TO THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/11/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT VIDE ITS ORDER DATED 01/09/2022 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO 50% AGAINST EACH OF THE APPLICANT
|
| 43 |
|
|
GUINESS SECURITIES LTD.
(PAN:AAACG9843L
CIN:CIN U51226WB1986PLC222771)
|
|
|
DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.4,00,000
30-JUN-2023
|
SEBI VIDE ITS NOTICE DATED 30/08/2023 DIRECTED TO PAY RS.4,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/09/2023 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
|
| 44 |
|
|
GUJARAT TEXSPIN LTD.
(CIN:L17110GJ1992PLC018186)
|
|
|
|
JIVRAJBHAI M.PATEL
|
|
|
MUKUND KRISHNASWAMI RAO
|
|
|
TARIK HAJI GAFFAR
|
|
|
TAUFIK HAJI GAFFAR
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
COMMITTED IRREGULARITIES IN EFFECTING TRANSFERS
CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012
27-AUG-2007
|
|
| 45 |
|
|
I VENTURES CAPITAL PVT.LTD.
(PAN:AACCI0426M)
|
|
|
FACILITATED REVERSAL OF TRADES IN ILLIQUID STOCK OPTIONS AT BSE THROUGH PROPRIETARY ACCOUNTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
28-APR-2023
|
COMPANY PAID RS.2 LACS TOWARDS PENALTY VIA ONLINE TRANSACTION NO.YICO1925368059 VIA CITI BANK N.A.
|
| 46 |
|
|
IKM INVESTORS SERVICES LTD.
|
|
|
CONNECTED TO SECONDARY/FALL BACK SERVER WITHOUT CONSENT/PERMISSION OF NSE VIOLATING POINT 2(A) OF CHAPTER V OF NSE BYE-LAWS READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT SPECIFIED UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER AND SUB BROKER) REGULATIONS, 1992
|
IMPOSED PENALTY RS.3,00,000
15-JUN-2021
|
|
| 47 |
|
|
IL&FS SECURITIES SERVICES LTD.
(PAN:AABCI5580K)
|
|
|
INDULGED IN FACILITATION ON PART OF AFSPL INCLUDING FRAUDULENT TRANSFER OF MF UNITS VIOLATING REGULATIONS 3(A) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ALLIED FINANCIAL SERVICES PVT.LTD.
PROVIDED ENHANCE INTRA-DAY LIMITS TO AFSPL WITHOUT SUFFICIENT COLLATERAL INFLOW
OPENED TRADING TERMINAL FOR ASFPL AND ALLOWED TO ROLL OVER OF POSITIONS
DID NOT MAINTAIN MINIMUM NETWORTH
RELEASED COLLATERAL TO AFSPL WITHOUT ANY CORRESPONDING REDUCTION IN EXPOSURE/MARGIN REQUIREMENTS VIOLATING CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
RESTRAINED FROM ACQUIRING ANY NEW CLIENTS FROM 06-JUL-2021 TO 05-JUL-2023
DIRECTED TO UNDERTAKE COMPREHENSIVE OVERHAUL OF ALL ITS PROCEDURES AND POLICIES, ESPECIALLY ITS RISK MANAGEMENT POLICY
DIRECTED TO IMPLEMENT NECESSARY CORRECTIVE MEASURES TO ENSURE THAT VIOLATIONS OBSERVED ARE NOT REPEATED
02-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 06/09/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/09/2022 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 19/09/2022 DISMISSED THE APPEAL AND RESTORED TO ITS ORIGINAL NUMBER
|
| 48 |
|
|
IL&FS SECURITIES SERVICES LTD.
(PAN:AABCI5580K)
|
|
|
INDULGED IN FACILITATION ON PART OF AFSPL INCLUDING FRAUDULENT TRANSFER OF MF UNITS VIOLATING REGULATIONS 3(A) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ALLIED FINANCIAL SERVICES PVT.LTD.
PROVIDED ENHANCE INTRA-DAY LIMITS TO AFSPL WITHOUT SUFFICIENT COLLATERAL INFLOW
OPENED TRADING TERMINAL FOR ASFPL AND ALLOWED TO ROLL OVER OF POSITIONS
DID NOT MAINTAIN MINIMUM NETWORTH
RELEASED COLLATERAL TO AFSPL WITHOUT ANY CORRESPONDING REDUCTION IN EXPOSURE/MARGIN REQUIREMENTS VIOLATING CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.26,00,00,000
02-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 06/09/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/09/2022 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 19/09/2022 DISMISSED THE APPEAL AND RESTORED TO ITS ORIGINAL NUMBER
|
| 49 |
|
|
IMTSONS INVESTMENTS LTD.
(CIN:U65993GJ2009PLC058732
PAN:AACCI1780J)
|
|
|
|
IMITIYAZHUSAIN SAIYED MOHMED SAIYED
DIN:02783229
PAN:ACCPS4868C
|
|
ENTERED INTO AGREEMENTS WITH CLIENTS/INVESTORS FOR INVESTMENTS IN SECURITIES MARKET, COLLECTING & MANAGING THEIR FUNDS FOR SUCH INVESTMENTS AND PROMISED ASSURED RETURNS ON THEIR INVESTMENTS VIOLATING SECTION 12(1) OF SEBI ACT, RULE 8(3)(F) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2), D(1) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (SUB BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-OCT-2017 TO 05-OCT-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-OCT-2017 TO 05-OCT-2020
DIRECTED TO REPAY/REFUND TO INVESTORS / CLIENTS MONEY WITH INTEREST @15% P.A. FROM THE DATE OF REPAYMENT DUE TILL THE DATE OF ACTUAL PAYMENT
DIRECTED TO PROVIDE CERTIFICATE FROM CHARTERED ACCOUNTANT IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
06-OCT-2017
|
|
| 50 |
|
|
INDIA INFOLINE LTD.
(PAN:AAACI7105D)
|
|
|
ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS
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 FAILURE IN COMPLIANCE WITH RULES 8 (1) (F) AND 8(3)(F) OF SCRA ,1957 RELATING TO FUND BASED ACTIVITIES OF STOCK BROKERS VIOLATING SEBI CIRCULAR NO.SEBI/POLICY/CIR-6/97 DATED 07/05/1997
ALLEGED FAILURE IN COMPLIANCE WITH RULES OF MARGIN TRADING AND SECURITIES LENDING AND BORROWING VIOLATING SEBI CIRCULAR NO.SEBI/MRD/SE/SU/CIR-15/04 DATED 19/03/2004
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN SPECULATIVE BUSINESS AND SUBMITTED FALSE OR MISLEADING RETURNS TO SEBI AND STOCK EXCHANGE VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(4) AND C(6) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
18-MAY-2010
|
|
| 51 |
|
|
INDO THAI SECURITIES LTD.
(PAN:AAACI4380E)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF MAGMA FINCORP LTD.
|
IMPOSED PENALTY RS.5,00,000
16-MAY-2014
|
|
| 52 |
|
|
INDRAKSHI SALES PVT.LTD.
(PAN:AACCI5457Q)
|
|
|
DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.2,00,000
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 17/07/2023 DIRECTED TO PAY RS.2,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 22/08/2023 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 29/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,11,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 53 |
|
|
INTERCONTINENTAL (I) LTD.
(Along with : ADANI ENTERPRISES LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 54 |
|
|
KANTILAL CHHAGANLAL SECURITIES PVT.LTD.
(PAN:AABCK3372R)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATIONS 9(F) AND 9(E) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF VARIOUS NSE CIRCULARS
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.31,20,000 VIDE CONSENT ORDER)
27-FEB-2023
|
|
| 55 |
|
|
KESARISUTA VINIMAY PVT.LTD.
(PAN:AAECK2699A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.8,00,000
30-JUN-2023
|
SEBI VIDE ITS NOTICE DATED 30/07/2024 DIRECTED TO PAY RS.9,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/01/2025 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
|
| 56 |
|
|
KORP SECURITIES LTD.
(PAN:AACCK1771D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATION ACTIVITIES 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.
|
IMPOSED PENALTY RS.3,00,00,000
25-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 57 |
|
|
LAUNCHPAD FINTECH PVT.LTD.
(PAN:AAECL1656J)
|
|
|
DID NOT ROUTE ALL TRADES THROUGH REQUEST FOR QUOTE (RFQ) AND DID NOT OBTAIN EXEMPTION FROM SEBI FROM APPLICABILITY OF SPECIFIC REQUIREMENT AND CONTINUED TO ROUTE TRADES THROUGH OVER THE COUNTER (OTC)
DID NOT COMPLY WITH CODE OF ADVERTISEMENT FOR ONLINE BOND PLATFORM PROVIDER (OBPP) AND PUBLISH ADVERTISEMENTS WHICH WERE NOT APPROVED BY STOCK EXCHANGE AND/OR REJECTED BY STOCK EXCHANGE VIOLATING REGULATION 9 READ WITH CLAUSE C(4) OF SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
27-NOV-2025
|
|
| 58 |
|
|
MANUBHAI MANGALDAS SECURITIES PVT.LTD.
(PAN:AAACM8035G)
|
|
|
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR SMD/SED/CIR/93/23321 DATED 18/11/1993 ON REGULATION OF TRANSACTION BETWEEN CLIENTS AND BROKERS
ALLEGED FAILURE IN MAINTAINING SEPARATE DEMAT ACCOUNT FOR PROPRIETARY TRADES AND CLIENT TRADES 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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
25-JUN-2014
|
|
| 59 |
|
|
MATHEW EASOW FINANCIAL SERVICES
|
|
|
|
MATHEW EASOW
|
|
MISLED INVESTORS ON PUBLICLY ACCESSIBLE MEDIA BY GIVING INVESTMENT ADVICE/RECOMMENDATIONS CONTRARY TO SELF HOLDINGS
DID NOT DISCLOSE SELF INTEREST AND POSITIONS IN SECURITIES WHILE MAKING INVESTMENT RECOMMENDATIONS ON A PUBLIC ACCESSIBLE MEDIA
|
IMPOSED PENALTY RS.20,00,000
26-SEP-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE
|
| 60 |
|
|
MATHEW EASOW FISCAL SERVICES LTD.
|
|
|
|
MATHEW EASOW
|
|
MISLED INVESTORS ON PUBLICLY ACCESSIBLE MEDIA BY GIVING INVESTMENT ADVICE/RECOMMENDATIONS CONTRARY TO SELF HOLDINGS
DID NOT DISCLOSE SELF INTEREST AND POSITIONS IN SECURITIES WHILE MAKING INVESTMENT RECOMMENDATIONS ON A PUBLIC ACCESSIBLE MEDIA
|
IMPOSED PENALTY RS.20,00,000
26-SEP-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE
|
| 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 3 of 5
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