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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 414  12922 
2.  VIOLATED SEBI TAKEOVER CODE, 1997 409  1022 
3.  VIOLATED SEBI (SUBSTANTIAL ACQUISITION OF SHARES AND TAKEOVERS) REGULATIONS, 2011 236  570 
4.  VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 230  324 
5.  VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 159  238 
6.  DID NOT ADHERE TO SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 110  205 
7.  VIOLATED SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 44  163 
8.  VIOLATED SEBI (PFUTP) REGULATIONS, 2003 62  149 
9.  VIOLATED CODE OF CONDUCT 144  132 
10.  VIOLATED SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992 22  128 
11.  VIOLATIONS SPECIFIED IN EARLIER SEBI/NSE ORDERS/CIRCULARS 78  113 
12.  MANIPULATED IPOS OF VARIOUS COMPANIES 65  107 
13.  DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE 81  97 
14.  VIOLATED SEBI FORWARD CONTRACTS (REGULATION) ACT, 1952 1  91 
15.  VIOLATED SEBI PUBLIC ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES 26  88 
16.  VIOLATED SEBI (MUTUAL FUNDS) REGULATIONS, 1996 30  63 
17.  VIOLATED LISTING AGREEMENT 28  57 
18.  VIOLATED SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996 15  48 
19.  VIOLATED SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 16  45 
20.  VIOLATED SEBI SECURITIES CONTRACTS (REGULATIONS) RULES, 1957 15  43 
21.  VIOLATED SEBI (PFUTP) REGULATIONS, 1995 9  40 
22.  PROVIDED WRONG/INCOMPLETE INFORMATION TO SEBI/DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS 30  38 
23.  EXECUTED FICTITIOUS/FRAUDULENT/STRUCTURED/UNAUTHORISED TRANSACTIONS 36  38 
24.  MISUSED/DEFAULTED IN MAINTAINING CLIENT ACCOUNTS 32  36 
25.  VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 17  35 
26.  INDUCED INVESTORS THROUGH FALSE/MISLEADING REPRESENTATION 18  34 
27.  COMMITTED IRREGULARITIES IN MAINTENANCE OF CLIENT REGISTRATION/DATABASE 29  34 
28.  VIOLATED SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS 1995 24  28 
29.  VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956 19  26 
30.  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION 18  26 
31.  VIOLATED SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 20  26 
32.  FAILED TO REDRESS INVESTOR/CREDITORS COMPLAINTS 14  22 
33.  VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES 11  22 
34.  VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992 17  21 
35.  COMMITTED IRREGULARITIES IN CONTRACT NOTES 16  20 
36.  VIOLATED SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 9  19 
37.  DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT 5  18 
38.  UNAUTHORISED OPERATIONS ON EXCHANGE TERMINALS 14  17 
39.  DELAYED/FAILED TO DELIVER/TRANSFER SECURITIES 11  17 
40.  FAILED TO MAINTAIN PROPER BOOKS OF ACCOUNTS/RECORDS 13  17 
41.  VIOLATED SEBI ACT, 1992 8  17 
42.  INDULGED IN UNAUTHORISED TRADING IN FUTURES & OPTIONS 20  17 
43.  VIOLATED SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATIONS, 2014 1  16 
44.  VIOLATED COMPANIES ACT, 2013 5  15 
45.  VIOLATED SEBI (STOCK EXCHANGES & CLEARING CORPORATIONS) REGULATIONS, 2018 7  14 
46.  VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993 7  14 
47.  VIOLATED COMPANIES ACT, 1956 3  14 
48.  DEFAULTED/FAILED TO COLLECT MARGINS/BMC FROM CLIENTS/SUB-BROKERS 13  14 
49.  DELAYED/FAILED TO MAKE PAYMENT TO CLIENTS 12  13 
50.  VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 1996 12  12 
51.  ADOPTED IMPROPER ACCOUNTING PRACTICES 5  12 
52.  VIOLATED SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013 6  12 
53.  VIOLATED SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014 11  11 
54.  ALLOWED WRONG UTILIZATION OF ISSUE PROCEEDS 4  11 
55.  VIOLATED SEBI (STOCK EXCHANGES & CLEARING CORPORATIONS) REGULATIONS, 2012 1  10 
56.  VIOLATED SEBI (DELISTING) REGULATIONS, 2021 1  7 
57.  VIOLATED SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 5  6 
58.  DID NOT REPORT OFF-THE-FLOOR/SPOT TRANSACTIONS TO EXCHANGE 3  6 
59.  INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES 6  6 
60.  INTRODUCED UNLISTED SHARES IN THE MARKET 2  6 
61.  DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES, RULES, BYELAWS AND REGULATIONS OF SEBI/STOCK EXCHANGE 4  5 
62.  VIOLATED SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993 6  5 
63.  VIOLATED SEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999 6  5 
64.  VIOLATED SEBI DEPOSITORIES ACT, 1996 5  5 
65.  VIOLATED SEBI (REAL ESTATE INVESTMENT TRUSTS) REGULATIONS, 2014 4  5 
66.  VIOLATED SEBI (ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES) REGULATIONS, 2021 2  4 
67.  VIOLATED SEBI (SHARE BASED EMPLOYEE BENEFITS AND SWEAT EQUITY) REGULATIONS, 2021 1  3 
68.  VIOLATED SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993 5  3 
69.  ACTED AS PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION 2  3 
70.  EVADED CARRY FORWARD MARGIN/MARGIN MONEY 2  3 
71.  DEALT IN CASH WITH CLIENTS 2  3 
72.  DID NOT REFUND MONEY COLLECTED UNDER CIS 3  3 
73.  DEFAULTED/IRREGULARITIES IN PAY-IN OBLIGATIONS 2  2 
74.  INADEQUATE RESOURCES/INFRASTRUCTURE/SYSTEMS 2  2 
75.  ACTIVATED SUB-BROKER TERMINALS BEFORE GETTING SEBI REGISTRATION 2  2 
76.  FAILED TO PAY FEES TO SEBI/EXCHANGE 1  2 
77.  VIOLATED SEBI REGULATION REGARDING DEMATERIALISATION/DEPOSITORY PARTICIPANTS 2  2 
78.  VIOLATED SEBI (STP CENTRALIZED HUB AND STP SERVICES PROVIDERS) GUIDELINES, 2004 2  2 
79.  VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018 2  2 
80.  VIOLATED SEBI (RESEARCH ANALYST) REGULATIONS, 2014 1  2 
81.  VIOLATED SECURITIES CONTRACTS (REGULATION) (STOCK EXCHANGES & CLEARING CORPORATION) REGULATIONS, 2018 1  1 
82.  VIOLATED SEBI (ISSUE AND LISTING OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES) REGULATIONS, 2013 1  1 
83.  VIOLATED BYELAWS/COMMUNIQUE/OPERATING INSTRUCTIONS OF CDSL 1  1 
84.  VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009 1  1 
85.  VIOLATED SEBI (BUY-BACK OF SECURITIES) REGULATIONS, 2018 1  1 
86.  VIOLATED SEBI (CERTIFICATION OF ASSOCIATED PERSONS IN SECURITIES MARKETS) REGULATIONS, 2007 1  1 
87.  VIOLATED SEBI (INFRASTRUCTURE INVESTMENT TRUSTS) REGULATIONS, 2014 1  1 
88.  VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 2020 1  1 
89.  VIOLATION OF OPERATIONAL FRAMEWORK FOR TRANSACTIONS IN DEFAULTED DEBT SECURITIES 1  1 
90.  VIOLATED SEBI (CUSTODIAN) REGULATIONS, 1996 1  1 
91.  VIOLATED SEBI SHARE CAPITAL AND DEBENTURES COMPANIES (PROSPECTUS & ALLOTMENT OF SECURITIES) RULES, 2014 1  1 
92.  ENGAGED IN NON-SECURITIES BUSINESS 1  1 
93.  FAILED TO PAY DIVIDENDS TO SHAREHOLDERS 1  1 
94.  VIOLATED SEBI (BUYBACK OF SECURITIES) REGULATIONS, 1998 1  1 
95.  CHARGED EXCESS/DIFFERENT RATES OF BROKERAGE 1  1 
96.  DID NOT MAINTAIN BASE MINIMUM CAPITAL 1  1 
97.  VIOLATED SEBI (INTERMEDIARIES) REGULATIONS, 2008 1  1 
98.  WITHDREW LARGE AMOUNTS OF CASH AND DEPOSITED IN GROUP COMPANY 1  1 
99.  VIOLATED DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS 1  1 
100.  VIOLATED SEBI (ISSUE & LISTING OF DEBT SECURITIES) REGULATIONS, 2008 1  1 
101.  DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY 1  1 
102.  INDULGED IN UNAUTHORISED CARRY FORWARD TRANSACTIONS 1  1 
103.  DEALT AND INTRODUCED TAINTED/STOLEN/FABRICATED/DUPLICATE SHARES 1  1 
104.  DID NOT ADHERE TO CONDITIONS OF PROVISIONAL REGISTRATION 1  1 
105.  DID NOT OBTAIN PRIOR PERMISSION FROM SEBI FOR CHANGE IN FIRM'S/COMPANY'S CONSTITUTION 1  1 
106.  FAILED TO PAY PENALTY AMOUNT TO SEBI 1  1 
107.  FAILED TO ENTER INTO AGREEMENT WITH SUB-BROKERS 1  1 
108.  DID NOT FILE FIRST INFORMATION REPORT IN RESPECT OF STOLEN/FAKE/FORGED SHARES 1  1 
  TOTAL 2763 * 17463 **
* 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. 2006)
** 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. 16075)

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