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REGULATORY ACTIONS IN CHRONOLOGICAL ORDER

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.

ENTITY

S.
No.
DATE OF ORDER ENTITY PERSON COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 26-MAY-2015
History of entity/person KIDDERPORE HOLDINGS LTD.   
  SEBI  ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,54,500 VIDE CONSENT ORDER DATED 26-MAY-2015)

26-MAY-2015
 
2 25-MAY-2015
History of entity/person AMAZAN CAPITAL LTD.   
History of entity/person DILIP KUMAR GANGOPADHYAY

History of entity/person JOYDEB GARAI

History of entity/person MANIGRIB BAG

History of entity/person PARAG KESHAR BHATTACHARJEE

History of entity/person BASUDEB GARAI

History of entity/person GARGI BISWAS
 
SEBI  MOBILIZED RS.7.70 CRORES THROUGH ISSUANCE OF 57,29,110 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 871 INVESTORS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956 AND THE ICDR REGULATIONS, 2009  DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 25-MAY-2015 TILL FURTHER ORDERS

PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 25-MAY-2015 TILL FURTHER ORDERS

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 25-MAY-2015 TILL FURTHER ORDERS

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 25-MAY-2015 TILL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2015 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2015 TILL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

25-MAY-2015
 
3 21-MAY-2015
History of entity/person NATURE INDIA COMMUNIQUE LTD.   
  SEBI  DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997  IMPOSED PENALTY

21-MAY-2015
 
4 21-MAY-2015
History of entity/person V.KARUPPIAH (HUF)   
History of entity/person V.KARUPPIAH
 
SEBI  TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF SABERO ORGANICS GUJARAT LTD.  DIRECTED TO IMPOUND UNLAWFUL GAINS OF RS.23,43,219 (ALONGWITH OTHERS)

21-MAY-2015
 
5 20-MAY-2015
History of entity/person BHARAT KUMAR TAPARIA (HUF)   
  SEBI  DID NOT COMPLY WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT  DIRECTED FREEZING OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

20-MAY-2015
 
6 20-MAY-2015
History of entity/person DEVI PRASAD TAPARIA (HUF)   
  SEBI  DID NOT COMPLY WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT  DIRECTED FREEZING OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

20-MAY-2015
 
7 20-MAY-2015
History of entity/person HARNARAYAN TAPARIA (HUF)   
  SEBI  DID NOT COMPLY WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT  DIRECTED FREEZING OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

20-MAY-2015
 
8 20-MAY-2015
History of entity/person JAYA KRISHNA TAPARIA (HUF)   
  SEBI  DID NOT COMPLY WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT  DIRECTED FREEZING OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

20-MAY-2015
 
9 20-MAY-2015
History of entity/person MADHAV PRASAD TAPARIA (HUF)   
  SEBI  DID NOT COMPLY WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT  DIRECTED FREEZING OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

20-MAY-2015
 
10 20-MAY-2015
History of entity/person OM SHRI YOGESHWAR MANUFACTURING & TRADING CO.PVT.LTD.   
  SEBI  DID NOT COMPLY WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT  DIRECTED FREEZING OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

20-MAY-2015
 
11 20-MAY-2015
History of entity/person SHREE SATYANARAYAN INVESTMENTS CO.LTD.   
  SEBI  DID NOT COMPLY WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT  DIRECTED FREEZING OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

20-MAY-2015
 
12 20-MAY-2015
History of entity/person SUSHIL KUMAR TAPARIA (HUF)   
  SEBI  DID NOT COMPLY WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT  DIRECTED FREEZING OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

20-MAY-2015
 
13 20-MAY-2015
History of entity/person VEER ENTERPRISES LTD.   
  SEBI  DID NOT COMPLY WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT  DIRECTED FREEZING OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 20-MAY-2015 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

20-MAY-2015
 
14 20-MAY-2015
History of entity/person VERINDER FINANCE LTD.   
History of entity/person VERINDER BHANOT

History of entity/person TARIQ NAFEES

History of entity/person INDU BHANOT

History of entity/person AKHIL BHANOT

History of entity/person BISWAJIT CHAKARBORTY

History of entity/person BARUN KANTI MAJUMDER

History of entity/person PURNENDU SANTRA

History of entity/person SUDHAKAR PANDA

History of entity/person RANJIT KUMAR BASU MULLICK

History of entity/person RAMENDU CHATTOPADHYAY

History of entity/person SURINDER KUMAR MALHOTRA

History of entity/person ASHISH CHATTERJEE

History of entity/person SATYA RANJAN DEBNATH
 
SEBI  MOBILIZED RS.7.05 LACS THROUGH ISSUANCE OF COMPULSORILY CONVERTIBLE PREFERENCE SHARES (CCPS) BY WAY OF PRIVATE PLACEMENT TO 1988 INVESTORS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956 AND THE ICDR REGULATIONS, 2009  DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 20-MAY-2015 UNTIL FURTHER ORDERS

PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 20-MAY-2015 UNTIL FURTHER ORDERS

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 20-MAY-2015 UNTIL FURTHER ORDERS

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 20-MAY-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-MAY-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAY-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

20-MAY-2015
 
15 19-MAY-2015
History of entity/person ABHI CAPITAL SERVICES LTD.   
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF & ON MARKET TRANSACTIONS IN SCRIP OF RICHA INDUSTRIES LTD.  IMPOSED PENALTY

19-MAY-2015
 
16 19-MAY-2015
History of entity/person AJAY KUMAR KAPOOR (HUF)   
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF & ON MARKET TRANSACTIONS IN SCRIP OF RICHA INDUSTRIES LTD.  IMPOSED PENALTY

19-MAY-2015
 
17 19-MAY-2015
History of entity/person ALMONDZ ENTERTAINMENT PVT.LTD.   
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF & ON MARKET TRANSACTIONS IN SCRIP OF RICHA INDUSTRIES LTD.  IMPOSED PENALTY

19-MAY-2015
 
18 19-MAY-2015
History of entity/person BAHAR PAPER PVT.LTD.   
History of entity/person KODA MALIA
 
SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF & ON MARKET TRANSACTIONS IN SCRIP OF RICHA INDUSTRIES LTD.  IMPOSED PENALTY

19-MAY-2015
 
19 19-MAY-2015
History of entity/person DBS CHOLAMANDALAM SECURITIES LTD. 

(Old Name : CHOLAMANDALAM SECURITIES LTD.)

(Member : BSE)  
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED/SELF/CROSS TRADES IN SCRIP OF RICHA INDUSTRIES LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT COMPLY WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (1) TO A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RICHA INDUSTRIES LTD. 
IMPOSED PENALTY

19-MAY-2015
 
20 19-MAY-2015
History of entity/person DBS CHOLAMANDALAM SECURITIES LTD. 

(Old Name : CHOLAMANDALAM SECURITIES LTD.)

(Member : NSE)  
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED/SELF/CROSS TRADES IN SCRIP OF RICHA INDUSTRIES LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT COMPLY WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (1) TO A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RICHA INDUSTRIES LTD. 
IMPOSED PENALTY

19-MAY-2015
 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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