| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
DEVIPRASAD SINGH
(PAN:AAZPS9535R)
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
ALLOWED WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES TO CONTINUE TO AVAIL SAMPARK CONNECTIVITY EVEN AFTER FINDING OUT THAT SAMPARK DID NOT HAVE REQUISITE LICENSE
PERMITTED TO PLACE INFRASTRUCTURE WITHOUT VERIFYING THE SAMPARK
PERMITTED WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES TO AVAIL CONNECTIVITY OF SAMPARK WITHOUT VERIFYING LICENSE OF SAMPARK
DENIED MILLENNIUM STOCK BROKING PVT.LTD. TO AVAIL P2P CONNECTIVITY OF SAMPARK BY INSTALLING MUX DIRECTLY IN ITS RACK WHILE OTHER MEMBERS (WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES) AVAILED THE SAME BENEFIT
ALLOWED WAY2WEALTH BROKERS PVT.LTD. TO ARRANGE CABLING THROUGH SAMPARK IN THE COLOCATION RACK IN A MANNER THAT WAY2WEALTH BROKERS PVT.LTD.HAD LOWER LATENCY COMPARED TO OTHER TRADING MEMBERS/STOCK BROKERS
|
DIRECTED NOT TO HOLD ANY POSITION, EITHER DIRECTLY OR INDIRECTLY, IN OR BE ASSOCIATED, DIRECTLY OR INDIRECTLY, WITH ANY STOCK EXCHANGE, CLEARING CORPORATION, DEPOSITORY RECOGNIZED OR REGISTERED BY SEBI AND/OR IN ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY OF THEIR RELATED ENTITIES FROM 30-APR-2019 TO 29-APR-2021
30-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 28/11/2019 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 PARTLY ALLOWED THE APPEAL BY QUASHING DIRECTIONS GIVEN BY WTM OF DEBARRING FROM HOLDING ANY POSITION FOR THREE YEARS AS PER ORDER DATED 30/04/2019
|
| 2 |
|
|
NAGENDRA KUMAR S.R.V.S.
(PAN:AACPN7675E)
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
GRANTED PERMISSION TO WAY2WEALTH BROKERS PVT.LTD.AND GKN SECURITIES TO AVAIL CONNECTIVITY OF SAMPARK WITHOUT VERIFYING THE LICENSE OF SAMPARK
ALLOWED WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES TO CONTINUE TO AVAIL SAMPARK CONNECTIVITY EVEN AFTER FINDING OUT THAT SAMPARK DID NOT HAVE REQUISITE LICENSE
DID NOT CONDUCT SITE INSPECTION OF WAY2WEALTH BROKERS PVT.LTD.AND GKN SECURITIES WHILE THE PROCEDURE OF CONDUCTING INSPECTION WAS FOLLOWED FOR MILLENNIUM, GRD AND SMC OFFICE FOR SUCH CONNECTIVITY
|
DIRECTED NOT TO HOLD ANY POSITION, EITHER DIRECTLY OR INDIRECTLY, IN OR BE ASSOCIATED, DIRECTLY OR INDIRECTLY, WITH ANY STOCK EXCHANGE, CLEARING CORPORATION, DEPOSITORY RECOGNIZED OR REGISTERED BY SEBI AND/OR IN ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY OF THEIR RELATED ENTITIES FROM 30-APR-2019 TO 29-APR-2021
30-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 PARTLY ALLOWED THE APPEAL BY QUASHING DIRECTIONS GIVEN BY WTM OF DEBARRING FROM HOLDING ANY POSITION FOR THREE YEARS AS PER ORDER DATED 30/04/2019
|
| 3 |
|
|
OM PRAKASH GUPTA
(PAN:AAHPG3048B)
|
|
|
|
GKN SECURITIES
PAN:AAHFG6629C
(Member : NSE)
|
|
GKN SECURITIES DIRECTLY BENEFITTED BY PREFERENTIAL TREATMENT BY NSE, SINCE NSE ALLOWED GKN TO CONTINUE TO USE SAMPARK LINE EVEN AFTER KNOWING THAT SAMPARK DID NOT HAVE REQUISITE LICENSES TO PROVIDE SUCH CONNECTIVITY
|
DIRECTED NOT TO HOLD ANY POSITION, EITHER DIRECTLY OR INDIRECTLY, IN OR BE ASSOCIATED, DIRECTLY OR INDIRECTLY, WITH ANY STOCK EXCHANGE, CLEARING CORPORATION, DEPOSITORY RECOGNIZED OR REGISTERED BY SEBI AND/OR IN ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY OF THEIR RELATED ENTITIES FROM 30-APR-2019 TO 29-APR-2021
30-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 PARTLY ALLOWED THE APPEAL BY QUASHING DIRECTIONS GIVEN BY WTM OF DEBARRING FROM HOLDING ANY POSITION FOR THREE YEARS AS PER ORDER DATED 30/04/2019
|
| 4 |
|
|
RAHUL GUPTA
(PAN:AAHPG6987B)
|
|
|
|
GKN SECURITIES
PAN:AAHFG6629C
(Member : NSE)
|
|
GKN SECURITIES DIRECTLY BENEFITTED BY PREFERENTIAL TREATMENT BY NSE, SINCE NSE ALLOWED GKN TO CONTINUE TO USE SAMPARK LINE EVEN AFTER KNOWING THAT SAMPARK DID NOT HAVE REQUISITE LICENSES TO PROVIDE SUCH CONNECTIVITY
|
DIRECTED NOT TO HOLD ANY POSITION, EITHER DIRECTLY OR INDIRECTLY, IN OR BE ASSOCIATED, DIRECTLY OR INDIRECTLY, WITH ANY STOCK EXCHANGE, CLEARING CORPORATION, DEPOSITORY RECOGNIZED OR REGISTERED BY SEBI AND/OR IN ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY OF THEIR RELATED ENTITIES FROM 30-APR-2019 TO 29-APR-2021
30-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 PARTLY ALLOWED THE APPEAL BY QUASHING DIRECTIONS GIVEN BY WTM OF DEBARRING FROM HOLDING ANY POSITION FOR THREE YEARS AS PER ORDER DATED 30/04/2019
|
| 5 |
|
|
RAVI VARANASI
(PAN:AACPV0930C)
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
VIOLATED PART B OF SCHEDULE II OF SECC REGULATIONS, 2012 READ WITH REGULATION 26(2) OF SECC REGULATIONS, 2012 READ WITH SEBI MASTER CIRCULAR DATED 31/12/2010
ALLOWED WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES TO CONTINUE TO AVAIL SAMPARK CONNECTIVITY EVEN AFTER FINDING OUT THAT SAMPARK DID NOT HAVE REQUISITE LICENSE
DID NOT CONDUCT SITE INSPECTION OF WAY2WEALTH BROKERS PVT.LTD.AND GKN SECURITIES WHILE THE PROCEDURE OF CONDUCTING INSPECTION WAS FOLLOWED FOR MILLENNIUM, GRD AND SMC OFFICE FOR SUCH CONNECTIVITY
|
DIRECTED NOT TO HOLD ANY POSITION, EITHER DIRECTLY OR INDIRECTLY, IN OR BE ASSOCIATED, DIRECTLY OR INDIRECTLY, WITH ANY STOCK EXCHANGE, CLEARING CORPORATION, DEPOSITORY RECOGNIZED OR REGISTERED BY SEBI AND/OR IN ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY OF THEIR RELATED ENTITIES FROM 30-APR-2019 TO 29-APR-2021
30-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 PARTLY ALLOWED THE APPEAL BY QUASHING DIRECTIONS GIVEN BY WTM OF DEBARRING FROM HOLDING ANY POSITION FOR THREE YEARS AS PER ORDER DATED 30/04/2019
|
| 6 |
|
|
SONALI GUPTA
(PAN:AAEPC1340F)
|
|
|
|
GKN SECURITIES
PAN:AAHFG6629C
(Member : NSE)
|
|
GKN SECURITIES DIRECTLY BENEFITTED BY PREFERENTIAL TREATMENT BY NSE, SINCE NSE ALLOWED GKN TO CONTINUE TO USE SAMPARK LINE EVEN AFTER KNOWING THAT SAMPARK DID NOT HAVE REQUISITE LICENSES TO PROVIDE SUCH CONNECTIVITY
|
DIRECTED NOT TO HOLD ANY POSITION, EITHER DIRECTLY OR INDIRECTLY, IN OR BE ASSOCIATED, DIRECTLY OR INDIRECTLY, WITH ANY STOCK EXCHANGE, CLEARING CORPORATION, DEPOSITORY RECOGNIZED OR REGISTERED BY SEBI AND/OR IN ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY OF THEIR RELATED ENTITIES FROM 30-APR-2019 TO 29-APR-2021
30-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 PARTLY ALLOWED THE APPEAL BY QUASHING DIRECTIONS GIVEN BY WTM OF DEBARRING FROM HOLDING ANY POSITION FOR THREE YEARS AS PER ORDER DATED 30/04/2019
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
