WARNING/SUSPENSION TO BROKERS
 
SECONDARY MARKET DEPARTMENT

The Securities and Exchange Board of India (SEBI) has warned Shri Ajay S. Shah, member of Pune Stock Exchange (SEBI Reg. No. INB 110246011) for not maintaining hard copies of books of accounts properly and for not reporting off-the-floor transactions to the Exchange. 
 
The warning has been served in terms of Sub-Regulation (3) of Regulation 29 of SEBI (Stock Brokers and Sub-Brokers) Rules & Regulations, 1992.