Consent Orders

Settlement Actions

S.NO.	SETTLEMENT ACTIONS	NO.OF ENTITIES/ PERSONS
1.	PAID SETTLEMENT AMOUNT	14633
2.	AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY	133
3.	AGREED VOLUNTARILY TO BE SUSPENDED FROM REGISTRATION AS STOCK BROKER	15
4.	AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES	10
5.	AGREED VOLUNTARILY NOT TO INVEST IN LISTED SECURITIES (OTHER THAN MUTUAL FUND)	7
6.	AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS OR ACCESS SECURITIES MARKET DIRECTLY/INDIRECTLY IN PROPRIETARY ACCOUNT	6
7.	AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC	6
8.	AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019	3
9.	AGREED VOLUNTARY FOR DEBARMENT OF PROMOTERS FROM BEING PROMOTERS/DIRECTORS OF INTERMEDIARIES REGISTERED WITH SEBI	3
10.	REACHED SETTLEMENT (CONSENT ORDER AFTER PASSING SUCH EXAMS/COURSES, WILL COMMIT TO PRO BONO COMMUNITY SERVICE OF AT LEAST FOURTEEN DAYS OVER THE NEXT YEAR	3
11.	REACHED SETTLEMENT (CONSENT ORDER TAKE UP AND PASS SPECIFIC AND APPROPRIATE TRAINING COURSES (SPECIFIED BY SEBI AT THEIR OWN COST WITHIN NEXT SIX MONTHS	3
12.	AGREED VOLUNTARILY TO BE DEBARRED FROM ISSUING OF NEW SCHEMES FOR A PERIOD OF ONE YEAR	3
13.	AGREED VOLUNTARILY NOT TO HOLD DIRECTORSHIP IN ANY LISTED COMPANY	2
14.	AGREED VOLUNTARILY TO IMPLEMENT A POLICY OF ROTATION OF STATUTORY AUDITORS	2
15.	AGREED VOLUNTARILY TO BE RESTRAINED FROM RAISING FRESH CAPITAL FOR A PERIOD OF ONE YEAR	2
16.	AGREED VOLUNTARILY TO LOCK-IN OF ONE YEAR ON FIVE LAC SHARES ALLOTTED PURSUANT TO CONVERSION OF WARRANTS ALLOTTED ON PREFERENTIAL BASIS	1
17.	AGREED VOLUNTARILY TO MAKE AN OPEN OFFER TO SHAREHOLDERS OF ORIENT TRADELINK LTD. AND DIVINE ENTERTAINMENT LTD.	1
18.	AGREED VOLUNTARILY TO SPEND A SUM OF RS.1 CRORE ON INVESTOR EDUCATION AND AWARENESS PROGRAMME AND ON DEVELOPMENT OF METERIALS FOCUSING ON MAKING INVESTORS MORE AWARE OF THEIR RIGHTS IN CONNECTION WITH INTERNET BASED TRADING IN SECURITIES MARKET WITHIN 6 MONTHS FROM DATE OF RECEIPT OF THIS CONSENT ORDER	1
19.	AGREED VOLUNTARILY TO UNDERTAKE TO EXTEND EXIT OFFER BY ISSUANCE OF INDIVIDUAL NOTICES, UNDER SPEED POST, DIRECTLY TO THE REMAINING PUBLIC SHAREHOLDERS OF ASHOKA VINIYOGA LTD. AT THE SAME EXIT PRICE AS WAS OFFERED IN 2019 IN RESPECT OF ARTEE VINIYOGA LTD.	1
20.	AGREED VOLUNTARILY TO UNDERTAKE TO EXTEND EXIT OFFER BY ISSUANCE OF INDIVIDUAL NOTICES, UNDER SPEED POST, DIRECTLY TO THE REMAINING PUBLIC SHAREHOLDERS OF SAHU JAIN LTD. AT THE SAME EXIT PRICE AS WAS OFFERED IN 2019 IN RESPECT OF CAMAC COMMERCIAL CO.LTD.	1
21.	AGREED VOLUNTARILY TO UNDERTAKE TO EXTEND EXIT OFFER FOR THREE MONTHS FROM DATE OF SETTLEMENT ORDER BY ISSUANCE OF INDIVIDUAL NOTICES, UNDER SPEED POST, DIRECTLY TO THE REMAINING PUBLIC SHAREHOLDERS OF COMBINE HOLDING LTD. AT THE SAME EXIT PRICE AS WAS OFFERED IN 2019 IN RESPECT OF PUNJAB MERCANTILE & TRADERS LTD.	1
22.	AGREED VOLUNTARILY NOT TO ACTIVATE CERTIFICATE OF REGISTRATION AS STOCK BROKER	1
23.	AGREED VOLUNTARILY NOT TO REGISTER NEW CLIENTS FOR A PERIOD OF 45 DAYS	1
	TOTAL	14839 *

*	Includes cases of the same entity/person having had multiple settlement actions (Thus the number of entities/persons reflecting here are greater than the total number of unique entities/persons i.e. 14645)

Consent Orders

Settlement Actions

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