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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 16-DEC-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: PAID COMMISSION TO UNREGISTERED REMISIER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person PAVAK SECURITIES PVT.LTD.

(PAN:AABCP4399M)

(Member : BSE)  
  ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE

DID NOT REFUND MONEY COLLECTED UNDER CIS

PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS

DID NOT COLLECT MARGINS FROM CLIENTS

PAID COMMISSION TO UNREGISTERED REMISIER   		IMPOSED PENALTY RS.1,50,000

01-OCT-2004 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.50,000 FROM RS.1,50,000  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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