| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
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ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/OTC)
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DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT REDRESS INVESTOR COMPLAINTS
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED SEBI CODE OF CONDUCT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
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DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-APR-2009
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INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LTD. ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI'S WITHIN 30 DAYS
COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
INTERIM ORDER DATED 17/08/2007 MODIFIED AND ALLOWED TO OPEN NEW DP ACCOUNTS
INTERIM ORDER DATED 17/08/2007 MODIFIED AND ALLOWED TO ENTERING INTO NEW AGREEMENT AS RTA/STA
INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009
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| 2 |
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ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HIGHLAND INDUSTRIES LTD.
ALLEGED FAILURE IN MAINTAINING 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 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF HIGHLAND INDUSTRIES LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
16-NOV-2009
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| 3 |
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ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE/NSE/OTC/BGSE)
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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 PRRANETA INDUSTRIES LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,50,000 VIDE CONSENT ORDER)
14-OCT-2011
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| 4 |
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ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF MALVICA ENGINEERING LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE 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 MALVICA ENGINEERING LTD.
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IMPOSED PENALTY RS.50,000
23-SEP-2009
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,35,000, LEGAL EXPENSES RS.30,000 VIDE CONSENT ORDER)
26-APR-2010
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SAT: IMPUGNED ORDER DATED 23/09/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1,35,000 TOWARDS SETTLEMENT CHARGES AND RS.30,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER
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| 5 |
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ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE/NSE)
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF G-TECH INFO TRAINING LTD.
ALLEGED FAILURE MAINTENANCE OF 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 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF G-TECH INFO TRAINING LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
22-DEC-2009
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| 6 |
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ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
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ALLEGED VIOLATION OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF DESIGN AUTO SYSTEMS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE VIOLATING CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DESIGN AUTO SYSTEMS LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,50,000 VIDE CONSENT ORDER)
21-DEC-2009
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| 7 |
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ACUMEN CAPITAL MARKET (INDIA) LTD.
(Member : BSE)
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR, REVERSAL OF TRADES, SYNCHRONIZED AND STRUCTURED DEALS IN SCRIP OF SYSTEL INFOTECH LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE AND FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE , INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO 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 SYSTEL INFOTECH LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
29-APR-2011
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| 8 |
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ACUMEN CAPITAL MARKET (INDIA) LTD.
(Member : BSE/COCSE/NSE)
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF SKS LOGISTICS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO 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 SKS LOGISTICS LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
27-MAY-2011
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| 9 |
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ACUMEN CAPITAL MARKET (INDIA) LTD.
(Member : BSE/NSE)
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP 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.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
26-JUL-2011
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| 10 |
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ADOLF PATRICK PINTO,M/S
(Member : BSE)
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ADOLF PATRICK PINTO
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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.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
13-JAN-2010
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| 11 |
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ADOLF PATRICK PINTO,M/S
(Member : BSE)
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ADOLF PATRICK PINTO
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR AND STRUCTURED TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RAJESH EXPORTS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE 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 RAJESH EXPORTS LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-JAN-2010
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| 12 |
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ADROIT FINANCIAL SERVICES PVT.LTD.
(PAN:AABCA1156D)
(Member : NSE)
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ALLEGED INDULGENCE IN MARKET MANIPULATION AND PRICE MANIPULATION THROUGH CROSS, STRUCTURED AND SYNCHRONIZED DEALS IN SCRIP OF SHAMKEN MULTIFAB LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2), A(3) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SHAMKEN MULTIFAB LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
01-NOV-2012
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| 13 |
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AGROY FINANCE & INVESTMENT LTD.
(Member : NSE)
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ALLEGED INDULGENCE IN IRREGULAR TRNSACTIONS IN SCRIP OF KAJARIA CERAMICS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE 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 KAJARIA CERAMICS LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
31-MAR-2010
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| 14 |
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ALANKIT ASSIGNMENTS LTD.
(PAN:AAACA9483E)
(Member : BSE/NSE)
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ALLEGED FAILURE TO CARRY OUT ACTUAL SETTLEMENT OF FUNDS & SECURITIES OF ACTIVE AND INACTIVE CLIENTS DURING INSPECTION PERIOD VIOLATING SEBI CIRCULARS REF. NO.SEBI/MIRSD/SE/CIR-19/2009 DATED 03/12/2009 AND SEBI/MIRSD/SE/CIR/01/2011 DATED 13/05/2011
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.58,96,000 VIDE CONSENT ORDER)
31-OCT-2018
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| 15 |
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ALLIED FINANCIAL SERVICES PVT.LTD.
(PAN:AAACA2020K)
(Member : NSE)
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF AARTI DRUGS LTD.,HAVELLS INDIA LTD.AND LYKA LABS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE 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 AARTI DRUGS LTD.,HAVELLS INDIA LTD.AND LYKA LABS LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
22-JUN-2010
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| 16 |
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ALTIUS FINCAP MARKETS LTD.
(Member : NSE)
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIPS OF AARTI DRUGS LTD.AND HAVELLS INDIA LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE 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 AARTI DRUGS LTD. AND HAVELLS INDIA LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
01-SEP-2010
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| 17 |
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AMRAPALI CAPITAL & FINANCE SERVICES LTD.
(Member : NSE)
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ALLEGED VIOLATION OF REGULATIONS 4(1),4(2) (A),(B),(E),(G) AND (N) OF SEBI (PFUTP) REGULATIONS, 2003 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.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,50,000 VIDE CONSENT ORDER)
08-SEP-2009
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| 18 |
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ANAND RATHI SHARE & STOCK BROKERS LTD.
(PAN:AAACN3405F)
(Member : BSE/NSE)
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ALLEGED FAILURE TO ENSURE FAIRNESS AND EXERCISE DUE DILIGENCE BY NOT KEEPING TRANSPARENCY AND CREDIBLE RECORDS OF DULY AUTHORIZED PERSON OF MEHRANGARH FINANCIAL ADVISORS PVT.LTD. WITH RESPECT TO PLACEMENT OF ORDERS TO THE APPLICANT FOR EXECUTING TRADES ON THE STOCK EXCHANGE PLATFORM IN MATTER OF KPIT TECHNOLOGIES LTD.
ALLEGED THAT APPLICANT REGISTERED THE EMAIL IDS OF EMPLOYEES ASSOCIATED WITH ITS OWN GROUP COMPANIES INSTEAD OF REGISTERING EMAIL ID OF THE CLIENT OR ITS DULY AUTHORIZED PERSON IN MATTER OF KPIT TECHNOLOGIES LTD.
ALLEGED OFF-MARKET TRANSFERS PROCESSED WITH DELIVERY INSTRUCTION SLIPS (DIS) DATED 03/03/2017 AND 01/03/2018, RELYING ON INSTRUCTIONS FROM AUTHORIZED SIGNATORY OF THE APPLICANT IN MATTER OF KPIT TECHNOLOGIES LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.90,20,000 VIDE CONSENT ORDER)
13-MAY-2025
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| 19 |
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ANGEL ONE LTD.
(PAN:AAACM6094R)
(Member : BSE/NSE)
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ALLEGED FAILURE IN MAINTAINING PROPER RECORD OF EXECUTION OF TRADES OF CLIENTS IN THE FORM OF VOICE RECORDING SYSTEM (VRS) TO RECORD PLACEMENT OF ORDERS BY THE CLIENTS THROUGH ITS AUTHORISED PERSONS VIOLATING PROVISIONS OF SEBI/HO/MIRSD/DOP1/CIR/P/2018/54 DATED 22/03/2018 AND MIRSD/ DR-1/CIR-16/09 DATED 06/11/2009 IN THE MATTER OF FRONT RUNNING OF ORDERS OF ITS BIG CLIENTS BY ITS AP MR.JITENDRA KEWALRAMANI
ALLEGED FAILURE IN MAINTAINING PROPER RECORD OF EXECUTION OF TRADES OF CLIENTS IN THE FORM OF VOICE RECORDING SYSTEM (VRS) TO RECORD PLACEMENT OF ORDERS BY THE CLIENTS THROUGH ITS AUTHORISED PERSONS VIOLATING CLAUSES A(2) AND A(5) OF CODE OF CONDUCT AS SPECIFIED UNDER SCHEDULE II OF THE SEBI (STOCK BROKERS) REGULATIONS, 1992 READ WITH REGULATION 9(F) IN THE MATTER OF FRONT RUNNING OF ORDERS OF ITS BIG CLIENTS BY ITS AP MR.JITENDRA KEWALRAMANI
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,64,500 VIDE CONSENT ORDER)
27-SEP-2024
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| 20 |
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ANIKET N.AGGARWAL & CO.
(Member : LSE)
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ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CLASSIC GLOBAL IMPEX LTD.(NOW KNOWN AS DEVINE IMPEX LTD.)
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
07-JAN-2011
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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