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Consent Orders

Prima Facie Reasons

S.NO. PRIMA FACIE REASONS NO.OF ORDERS PASSED NO.OF ENTITIES/ PERSONS
1.  MANIPULATED MARKET AND/OR INDULGED IN UNFAIR TRADE PRACTICES 412  12155 
2.  VIOLATED SEBI TAKEOVER CODE, 1997 409  1022 
3.  VIOLATED SEBI (SUBSTANTIAL ACQUISITION OF SHARES AND TAKEOVERS) REGULATIONS, 2011 225  502 
4.  VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 230  324 
5.  VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 134  187 
6.  VIOLATED CODE OF CONDUCT 139  127 
7.  DID NOT ADHERE TO SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 71  106 
8.  MANIPULATED IPOS OF VARIOUS COMPANIES 63  101 
9.  VIOLATED SEBI PUBLIC ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES 26  88 
10.  VIOLATED SEBI (PFUTP) REGULATIONS, 2003 46  84 
11.  VIOLATIONS SPECIFIED IN EARLIER SEBI/NSE ORDERS/CIRCULARS 48  70 
12.  VIOLATED LISTING AGREEMENT 26  49 
13.  VIOLATED SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 14  45 
14.  VIOLATED SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 16  45 
15.  VIOLATED SEBI (MUTUAL FUNDS) REGULATIONS, 1996 22  42 
16.  VIOLATED SEBI (PFUTP) REGULATIONS, 1995 9  40 
17.  EXECUTED FICTITIOUS/FRAUDULENT/STRUCTURED/UNAUTHORISED TRANSACTIONS 36  38 
18.  DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE 33  37 
19.  PROVIDED WRONG/INCOMPLETE INFORMATION TO SEBI/DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS 29  37 
20.  MISUSED/DEFAULTED IN MAINTAINING CLIENT ACCOUNTS 32  36 
21.  VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 17  35 
22.  COMMITTED IRREGULARITIES IN MAINTENANCE OF CLIENT REGISTRATION/DATABASE 29  34 
23.  INDUCED INVESTORS THROUGH FALSE/MISLEADING REPRESENTATION 18  34 
24.  VIOLATED SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS 1995 24  28 
25.  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION 18  26 
26.  VIOLATED SEBI SECURITIES CONTRACTS (REGULATIONS) RULES, 1957 13  24 
27.  VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956 17  24 
28.  VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES 11  22 
29.  FAILED TO REDRESS INVESTOR/CREDITORS COMPLAINTS 13  21 
30.  COMMITTED IRREGULARITIES IN CONTRACT NOTES 16  20 
31.  DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT 5  18 
32.  FAILED TO MAINTAIN PROPER BOOKS OF ACCOUNTS/RECORDS 13  17 
33.  DELAYED/FAILED TO DELIVER/TRANSFER SECURITIES 11  17 
34.  UNAUTHORISED OPERATIONS ON EXCHANGE TERMINALS 14  17 
35.  INDULGED IN UNAUTHORISED TRADING IN FUTURES & OPTIONS 20  17 
36.  VIOLATED SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATIONS, 2014 1  16 
37.  VIOLATED SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992 14  16 
38.  DEFAULTED/FAILED TO COLLECT MARGINS/BMC FROM CLIENTS/SUB-BROKERS 13  14 
39.  DELAYED/FAILED TO MAKE PAYMENT TO CLIENTS 12  13 
40.  VIOLATED COMPANIES ACT, 1956 2  13 
41.  VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992 13  13 
42.  VIOLATED SEBI (STOCK EXCHANGES & CLEARING CORPORATIONS) REGULATIONS, 2018 4  12 
43.  VIOLATED SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013 6  12 
44.  ADOPTED IMPROPER ACCOUNTING PRACTICES 5  12 
45.  ALLOWED WRONG UTILIZATION OF ISSUE PROCEEDS 4  11 
46.  VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 1996 10  10 
47.  VIOLATED SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014 10  10 
48.  VIOLATED SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 5  8 
49.  VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993 6  8 
50.  VIOLATED SEBI ACT, 1992 7  7 
51.  VIOLATED SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996 4  6 
52.  VIOLATED SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 5  6 
53.  INTRODUCED UNLISTED SHARES IN THE MARKET 2  6 
54.  INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES 6  6 
55.  DID NOT REPORT OFF-THE-FLOOR/SPOT TRANSACTIONS TO EXCHANGE 3  6 
56.  DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES, RULES, BYELAWS AND REGULATIONS OF SEBI/STOCK EXCHANGE 4  5 
57.  VIOLATED SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993 4  4 
58.  VIOLATED SEBI DEPOSITORIES ACT, 1996 4  4 
59.  VIOLATED SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993 4  3 
60.  VIOLATED SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 3  3 
61.  EVADED CARRY FORWARD MARGIN/MARGIN MONEY 2  3 
62.  DEALT IN CASH WITH CLIENTS 2  3 
63.  DID NOT REFUND MONEY COLLECTED UNDER CIS 3  3 
64.  ACTED AS PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION 2  3 
65.  ACTIVATED SUB-BROKER TERMINALS BEFORE GETTING SEBI REGISTRATION 2  2 
66.  FAILED TO PAY FEES TO SEBI/EXCHANGE 1  2 
67.  INADEQUATE RESOURCES/INFRASTRUCTURE/SYSTEMS 2  2 
68.  VIOLATED SEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999 2  2 
69.  VIOLATED SEBI (RESEARCH ANALYST) REGULATIONS, 2014 1  2 
70.  VIOLATED SEBI (STP CENTRALIZED HUB AND STP SERVICES PROVIDERS) GUIDELINES, 2004 2  2 
71.  VIOLATED SEBI REGULATION REGARDING DEMATERIALISATION/DEPOSITORY PARTICIPANTS 2  2 
72.  VIOLATED SECURITIES CONTRACTS (REGULATION) (STOCK EXCHANGES & CLEARING CORPORATION) REGULATIONS, 2018 1  1 
73.  WITHDREW LARGE AMOUNTS OF CASH AND DEPOSITED IN GROUP COMPANY 1  1 
74.  VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009 1  1 
75.  VIOLATED BYELAWS/COMMUNIQUE/OPERATING INSTRUCTIONS OF CDSL 1  1 
76.  VIOLATED COMPANIES ACT, 2013 1  1 
77.  VIOLATED DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS 1  1 
78.  VIOLATED SEBI (BUYBACK OF SECURITIES) REGULATIONS, 1998 1  1 
79.  VIOLATED SEBI (BUY-BACK OF SECURITIES) REGULATIONS, 2018 1  1 
80.  INDULGED IN UNAUTHORISED CARRY FORWARD TRANSACTIONS 1  1 
81.  FAILED TO PAY PENALTY AMOUNT TO SEBI 1  1 
82.  FAILED TO PAY DIVIDENDS TO SHAREHOLDERS 1  1 
83.  DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY 1  1 
84.  ENGAGED IN NON-SECURITIES BUSINESS 1  1 
85.  FAILED TO ENTER INTO AGREEMENT WITH SUB-BROKERS 1  1 
86.  CHARGED EXCESS/DIFFERENT RATES OF BROKERAGE 1  1 
87.  DEALT AND INTRODUCED TAINTED/STOLEN/FABRICATED/DUPLICATE SHARES 1  1 
88.  DID NOT ADHERE TO CONDITIONS OF PROVISIONAL REGISTRATION 1  1 
89.  DEFAULTED/IRREGULARITIES IN PAY-IN OBLIGATIONS 1  1 
90.  DID NOT FILE FIRST INFORMATION REPORT IN RESPECT OF STOLEN/FAKE/FORGED SHARES 1  1 
91.  DID NOT MAINTAIN BASE MINIMUM CAPITAL 1  1 
92.  DID NOT OBTAIN PRIOR PERMISSION FROM SEBI FOR CHANGE IN FIRM'S/COMPANY'S CONSTITUTION 1  1 
  TOTAL 2452 * 15760 **
* Includes cases of multiple prima facie reasons in an order (Thus the number of orders reflecting here are greater than the total number of unique orders i.e. 1801)
** Includes cases of the same entity/person having had multiple prima facie reasons (Thus the number of entities/persons reflecting here are greater than the total number of unique entities/persons i.e. 14645)

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