| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ASHOKA REFINERIES LTD.
|
|
|
|
ASHOK KUMAR AGRAWAL
|
|
|
HARISH VERMA
|
|
|
KAILASH CHANDRA AGRAWAL
|
|
|
SHABIR MENON
|
|
|
SUDHIR DIXIT
|
|
ALLEGED DELAY IN TRANSFER OF SHARES OF ASHOKA REFINERIES LTD.
ALLEGED INDULGENCE IN PRICE RIGGING IN SCRIP OF ASHOKA REFINERIES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 22-JUL-2009 TO 21-JUL-2011
22-JUL-2009
|
|
| 2 |
|
|
D.K.CONSULTANCY
|
|
|
|
NEERAV BHAGAT
|
|
DELIVERED FAKE/FORGED SHARES
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
|
|
| 3 |
|
|
EDUEXEL INFOTAINMENT LTD.
(PAN:AADCT3496R)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT DEMATERIALISE SHARES IN TIME
|
IMPOSED PENALTY RS.6,00,000
13-JUN-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 27/04/2023 DIRECTED TO PAY RS.10,27,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 22/09/2023 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
SEBI VIDE ITS NOTICE DATED 12/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.10,63,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 4 |
|
|
FERRARI TEXTILES PVT.LTD.
|
|
|
|
TOHID HAZI GAFFAR
|
|
DELIVERED FAKE/FORGED SHARES
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
|
|
| 5 |
|
|
GUJARAT DEHYD FOODS LTD.
|
|
|
|
B.S.DHOLAKIA
|
|
|
H.S.MARU
|
|
|
K.I.BAKSHI
|
|
|
M.K.BAKSHI
|
|
|
R.T.ZALA
|
|
|
S.I.BAKSHI
|
|
|
T.N.ZALA
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
27-SEP-2001
|
|
| 6 |
|
|
GUJARAT FUN N WATER PARK LTD.
|
|
|
|
DIPTIBEN SHAH
|
|
|
GIRISH SHAH
|
|
|
HEMLATA P.BAROT
|
|
|
NIRMALSINH D.RANA
|
|
|
RAJENDRASINH D.ZALA
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
27-SEP-2001
|
|
| 7 |
|
|
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
|
|
| 8 |
|
|
I360 STAFFING & TRAINING SOLUTIONS PVT.LTD.
(PAN:AAACI8851P)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES
EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS
DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS
DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES
DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026
15-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 26/04/2021 DISMISSED THE APPEAL
|
| 9 |
|
|
KARISHMA FLORICULTURE LTD.
(CIN:U74899DL1994PLC057511)
|
|
|
|
S.N.BANSAL
|
|
ADVANCED FUNDS FOR PURCHASE OF ITS OWN SHARES VIOLATING SECTION 77(2) OF COMPANIES ACT, 1956
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 10 |
|
|
MANNA GLASS-TECH INDUSTRIES LTD.
|
|
|
|
AMIDHAR MAJUMDAR
|
|
|
GIRISH D.SHAH
|
|
|
REENA A.MAJUMDAR
|
|
|
TUSHAR A.MAJUMDAR
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
03-APR-2001
|
|
| 11 |
|
|
OJAS TECHNOCHEM PRODUCTS LTD.
|
|
|
|
HANSA J.SHUKLA
|
|
|
NIRANJANA S.SHUKLA
|
|
|
SURESH KANTI SHUKLA
|
|
|
VINOD KANTI SHUKLA
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
03-APR-2001
|
|
| 12 |
|
|
PRAKASH INDUSTRIES LTD.
(PAN:AABCP6765H)
|
|
|
DID NOT DEMATERIALISE SHARES IN TIME
DID NOT HANDLE AND MAINTAIN SHARE TRANSFER WORK AT SINGLE POINT AS REQUIRED UNDER REGULATION 53A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
IMPOSED PENALTY RS.4,00,000
27-SEP-2011
|
|
| 13 |
|
|
SUNSTAR SOFTWARE SYSTEMS LTD.
|
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
03-APR-2001
|
|
| 14 |
|
|
TRIDENT STEELS LTD.
|
|
|
|
ANIL SHARMA
|
|
|
KULDEEP N.PARULEKAR
|
|
|
SURESH R.AGARWAL
|
|
|
VIJAY VISHNU SALI
|
|
HOLDINGS OF PROMOTERS HAD ALREADY BEEN PLEDGED TO A BANK FOR RAISING CREDIT LIMITS
DID NOT DISCLOSE IN PROSPECTUS PRINCIPAL TERMS OF LOAN AND ASSETS CHARGED AS SECURITY
MIS-STATEMENTS IN THE PROSPECTUS
DID NOT TRANSFER SHARES LODGED FOR TRANSFER
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-APR-2004 TO 20-APR-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-APR-2004 TO 20-APR-2009
31-MAR-2004
|
|
| 15 |
|
|
TRIDENT STEELS LTD.
|
|
|
|
A.Y.DEGANI
|
|
|
AJAY RAMESHWAR AGARWAL
|
|
|
ASHOK RAMESHWAR AGARWAL
|
|
|
BHARAT N.VAISHNAWA
|
|
|
HEMANT HEMNANI
|
|
|
S.K.JAIN
|
|
HOLDINGS OF PROMOTERS HAD ALREADY BEEN PLEDGED TO A BANK FOR RAISING CREDIT LIMITS
DID NOT DISCLOSE IN PROSPECTUS PRINCIPAL TERMS OF LOAN AND ASSETS CHARGED AS SECURITY
MIS-STATEMENTS IN THE PROSPECTUS
DID NOT TRANSFER SHARES LODGED FOR TRANSFER
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2004 TO 30-MAR-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2004 TO 30-MAR-2009
31-MAR-2004
|
|
| 16 |
|
|
TRIPACE MARKETING SERVICES PVT.LTD.
(CIN:U22300DL2011PTC226596
PAN:AACET0039R)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES
EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS
DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS
DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES
DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026
15-MAR-2016
|
|
| 17 |
|
|
UNICKON ASSET RECONSTRUCTION CO.PVT.LTD.
(CIN:U65999DL2009PTC191351
PAN:AABCU1082C)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES
EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS
DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS
DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES
DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026
15-MAR-2016
|
|
| 18 |
|
|
UNICKON COMMODITIES PVT.LTD.
(CIN:U51101DL2005PTC143970
PAN:AAACU7909D)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES
EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS
DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS
DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES
DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026
15-MAR-2016
|
|
| 19 |
|
|
UNICKON FINANCIAL CONSULTANTS PVT.LTD.
(PAN:AABCU5047P)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES
EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS
DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS
DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES
DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026
15-MAR-2016
|
|
| 20 |
|
|
UNICKON FINANCIAL INTERMEDIARIES PVT.LTD.
(CIN:U74140DL2004PTC127708
PAN:AAACU6952E)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES
EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS
DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS
DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES
DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026
15-MAR-2016
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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