WARNING ISSUED TO BROKER
 
SECONDARY MARKET DEPARTMENT

The Securities and Exchange Board of India (SEBI) has warned Shri Vinod Kumar Dua, member of Delhi Stock Exchange (SEBI Reg. No. INB050107815) for not maintaining proper segregation between own funds and clients' funds, dealing with un-registered sub-broker, for dealing with brokers of other stock exchanges on behalf of clients without getting registration as sub-broker with SEBI and for not reporting all the 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.