| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
HEM SECURITIES LTD.
(PAN:AABCH8005N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIPS OF LUPIN LABORATORIES LTD.,AFTEK INFOSYS LTD.,SHONKH TECHNOLOGIES INTERNATIONAL LTD.,GLOBAL TRUST BANK LTD.,ADANI EXPORTS LTD.HIMACHAL FUTURISTIC COMMUNICATIONS LTD. AND GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.90,00,000 VIDE CONSENT ORDER)
08-JAN-2010
|
|
| 142 |
|
|
HORIZON FINANCIAL CONSULTANTS PVT.LTD.
(PAN:AACCV9411H)
(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
|
|
| 143 |
|
|
HSBC INVESTDIRECT SECURITIES (INDIA) LTD.
(Member : BSE/NSE/DSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF ADANI EXPORTS 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 ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,30,57,343 VIDE CONSENT ORDER)
17-JAN-2018
|
|
| 144 |
|
|
HSBC INVESTDIRECT SECURITIES (INDIA) LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENTS FUND AND SECURITIES FROM OWN FUNDS AND SECURITIES
ALLEGED FAILURE IN TRANSFER OF SECURITIES TO INVESTORS
ALLEGED FAILURE IN MAKING PAYMENT TO INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,00,000 VIDE CONSENT ORDER)
20-MAY-2010
|
|
| 145 |
|
|
HSE SECURITIES LTD.
(Depository Participants : CDSL/NSDL,Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE
ALLEGED FAILURE IN TRANSFER OF SECURITIES TO INVESTORS
ALLEGED REJECTION OF DEMAT REQUEST OF INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)
02-MAR-2009
|
|
| 146 |
|
|
ICICI SECURITIES LTD.
(PAN:AAACI0996E)
(Member : NSE)
|
|
|
ALLEGED FAILURE IN ADHERE TO CONDITIONS UNDER MARGIN TRADING FACILITY (MTF) AGREED WITH CLIENTS
ALLEGED SOFTWARE MODULE FOR LIQUIDATION OF SHARES WAS NOT FUNCTIONAL TO SQUARE OFF SECURITIES LYING IN CLIENT UNPAID SECURITIES ACCOUNT
ALLEGED INSTEAD OF SQUARING OFF UNCONFIRMED PLEDGED SECURITIES PERTAINING TO MTF CLIENTS, KEPT SUCH SECURITIES IN CUSA ACCOUNT/TRANSFERRED SECURITIES FROM CURRENT SETTLEMENT ID TO ONE FUTURE SETTLEMENT ID IN THE POOL ACCOUNT
ALLEGED SUBMISSION OF INCORRECT DATA RELATED UNCONFIRMED PLEDGE SECURITIES UNDER MARGIN TRADING FACILITY (MTF)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.80,46,000 VIDE CONSENT ORDER)
13-FEB-2025
|
|
| 147 |
|
|
IFCI FINANCIAL SERVICES LTD.
(PAN:AAACI0567P)
(Member : NSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DEALT WITH STOCK BROKER/SUB-BROKER OF SAME EXCHANGE WITHOUT PRIOR PERMISSION OF THE EXCHANGE
|
IMPOSED PENALTY RS.50,000
31-MAR-2010
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
09-SEP-2010
|
SAT: IMPUGNED ORDER DATED 31/03/2010 DISPOSED OFF. AS APPLICANT HAS PAID RS.5,00,000, AS PER CONSENT ORDER
|
| 148 |
|
|
IIFL SECURITIES LTD.
(PAN:AAACI7397D)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) IN SCRIP OF ALKEM LABORATORIES LTD.
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) VIOLATING CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ALKEM LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,21,92,125 VIDE CONSENT ORDER)
25-FEB-2022
|
|
| 149 |
|
|
IIFL SECURITIES LTD.
(PAN:AAACI7397D)
(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
|
|
| 150 |
|
|
IIFL WEALTH MANAGEMENT LTD.
(PAN:AABCI8294C)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) IN SCRIP OF ALKEM LABORATORIES LTD.
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SHARES FOR BLOCK DEAL DURING AFTERNOON WINDOW I.E. VOLUME WEIGHTED AVERAGE PRICE (VWAP) VIOLATING CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF ALKEM LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,12,64,858 VIDE CONSENT ORDER)
08-JUL-2022
|
|
| 151 |
|
|
IL&FS INVESTSMART LTD.
(PAN:AAACI3364A)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
06-MAY-2008
|
|
| 152 |
|
|
INDIA CAPITAL MARKETS PVT.LTD.
(PAN:AABCN0802B)
(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
|
|
| 153 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1),4(2) (A),(B),(E),(G) & (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MEGA CORP.LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLYING 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 MEGA CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,00,000 VIDE CONSENT ORDER)
22-SEP-2011
|
|
| 154 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND B(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,00,000 VIDE CONSENT ORDER)
19-DEC-2014
|
|
| 155 |
|
|
INDIABULLS SECURITIES LTD.
(PAN:AAACO0870B)
(Member : NSE/BSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE IN CONDUCT OF BUSINESS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,10,000 VIDE CONSENT ORDER)
02-JAN-2013
|
|
| 156 |
|
|
INDO THAI SECURITIES LTD.
(PAN:AAACI4380E)
(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
|
|
| 157 |
|
|
INDUS PORTFOLIO PVT.LTD.
(PAN:AABCI3730R)
(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
|
|
| 158 |
|
|
INFINITY.COM STOCK BROKING PVT.LTD.
(Member : BSE,Sub-Broker of ANAGRAM SECURITIES LTD., Member : NSE/ASE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIP OF GREENFIELD TRADING & FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 28-NOV-2008 TO 27-NOV-2009
28-NOV-2008
|
|
| 159 |
|
|
INVENTURE GROWTH & SECURITIES LTD.
(PAN:AAACI2044K)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN MANIPULATIVE TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
07-JUN-2010
|
|
| 160 |
|
|
ISE SECURITIES & SERVICES LTD.
(PAN:AAACI6011L)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) AND (26(XV)) 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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
23-MAR-2018
|
|
| 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 8 of 22
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