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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 235  567 
4.  VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 230  324 
5.  VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 151  226 
6.  DID NOT ADHERE TO SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 92  150 
7.  VIOLATED CODE OF CONDUCT 143  131 
8.  VIOLATED SEBI (PFUTP) REGULATIONS, 2003 53  110 
9.  VIOLATIONS SPECIFIED IN EARLIER SEBI/NSE ORDERS/CIRCULARS 73  108 
10.  MANIPULATED IPOS OF VARIOUS COMPANIES 63  101 
11.  VIOLATED SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 27  89 
12.  VIOLATED SEBI PUBLIC ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES 26  88 
13.  VIOLATED SEBI (MUTUAL FUNDS) REGULATIONS, 1996 28  60 
14.  VIOLATED LISTING AGREEMENT 27  52 
15.  VIOLATED SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 16  45 
16.  VIOLATED SEBI (PFUTP) REGULATIONS, 1995 9  40 
17.  PROVIDED WRONG/INCOMPLETE INFORMATION TO SEBI/DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS 30  38 
18.  EXECUTED FICTITIOUS/FRAUDULENT/STRUCTURED/UNAUTHORISED TRANSACTIONS 36  38 
19.  DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE 33  37 
20.  MISUSED/DEFAULTED IN MAINTAINING CLIENT ACCOUNTS 32  36 
21.  VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 17  35 
22.  INDUCED INVESTORS THROUGH FALSE/MISLEADING REPRESENTATION 18  34 
23.  COMMITTED IRREGULARITIES IN MAINTENANCE OF CLIENT REGISTRATION/DATABASE 29  34 
24.  VIOLATED SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS 1995 24  28 
25.  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION 18  26 
26.  VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956 18  25 
27.  VIOLATED SEBI SECURITIES CONTRACTS (REGULATIONS) RULES, 1957 14  25 
28.  VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES 11  22 
29.  FAILED TO REDRESS INVESTOR/CREDITORS COMPLAINTS 14  22 
30.  VIOLATED SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 14  21 
31.  COMMITTED IRREGULARITIES IN CONTRACT NOTES 16  20 
32.  VIOLATED SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992 18  19 
33.  VIOLATED SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 8  18 
34.  DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT 5  18 
35.  VIOLATED SEBI ACT, 1992 8  17 
36.  UNAUTHORISED OPERATIONS ON EXCHANGE TERMINALS 14  17 
37.  INDULGED IN UNAUTHORISED TRADING IN FUTURES & OPTIONS 20  17 
38.  DELAYED/FAILED TO DELIVER/TRANSFER SECURITIES 11  17 
39.  FAILED TO MAINTAIN PROPER BOOKS OF ACCOUNTS/RECORDS 13  17 
40.  VIOLATED SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATIONS, 2014 1  16 
41.  VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992 15  15 
42.  VIOLATED COMPANIES ACT, 1956 3  14 
43.  DEFAULTED/FAILED TO COLLECT MARGINS/BMC FROM CLIENTS/SUB-BROKERS 13  14 
44.  VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993 7  14 
45.  VIOLATED SEBI (STOCK EXCHANGES & CLEARING CORPORATIONS) REGULATIONS, 2018 6  14 
46.  DELAYED/FAILED TO MAKE PAYMENT TO CLIENTS 12  13 
47.  VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 1996 12  12 
48.  ADOPTED IMPROPER ACCOUNTING PRACTICES 5  12 
49.  VIOLATED SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013 6  12 
50.  ALLOWED WRONG UTILIZATION OF ISSUE PROCEEDS 4  11 
51.  VIOLATED SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014 10  10 
52.  VIOLATED SEBI (STOCK EXCHANGES & CLEARING CORPORATIONS) REGULATIONS, 2012 1  10 
53.  VIOLATED SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996 5  7 
54.  VIOLATED SEBI (DELISTING) REGULATIONS, 2021 1  7 
55.  VIOLATED SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 5  6 
56.  INTRODUCED UNLISTED SHARES IN THE MARKET 2  6 
57.  DID NOT REPORT OFF-THE-FLOOR/SPOT TRANSACTIONS TO EXCHANGE 3  6 
58.  INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES 6  6 
59.  DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES, RULES, BYELAWS AND REGULATIONS OF SEBI/STOCK EXCHANGE 4  5 
60.  VIOLATED SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993 5  5 
61.  VIOLATED SEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999 5  5 
62.  VIOLATED COMPANIES ACT, 2013 2  4 
63.  VIOLATED SEBI DEPOSITORIES ACT, 1996 4  4 
64.  VIOLATED SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993 4  3 
65.  ACTED AS PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION 2  3 
66.  EVADED CARRY FORWARD MARGIN/MARGIN MONEY 2  3 
67.  DEALT IN CASH WITH CLIENTS 2  3 
68.  DID NOT REFUND MONEY COLLECTED UNDER CIS 3  3 
69.  VIOLATED SEBI (SHARE BASED EMPLOYEE BENEFITS AND SWEAT EQUITY) REGULATIONS, 2021 1  3 
70.  VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018 2  2 
71.  VIOLATED SEBI (STP CENTRALIZED HUB AND STP SERVICES PROVIDERS) GUIDELINES, 2004 2  2 
72.  VIOLATED SEBI (RESEARCH ANALYST) REGULATIONS, 2014 1  2 
73.  FAILED TO PAY FEES TO SEBI/EXCHANGE 1  2 
74.  INADEQUATE RESOURCES/INFRASTRUCTURE/SYSTEMS 2  2 
75.  ACTIVATED SUB-BROKER TERMINALS BEFORE GETTING SEBI REGISTRATION 2  2 
76.  VIOLATED SEBI REGULATION REGARDING DEMATERIALISATION/DEPOSITORY PARTICIPANTS 2  2 
77.  ENGAGED IN NON-SECURITIES BUSINESS 1  1 
78.  FAILED TO PAY DIVIDENDS TO SHAREHOLDERS 1  1 
79.  DID NOT MAINTAIN BASE MINIMUM CAPITAL 1  1 
80.  VIOLATED SEBI (BUYBACK OF SECURITIES) REGULATIONS, 1998 1  1 
81.  CHARGED EXCESS/DIFFERENT RATES OF BROKERAGE 1  1 
82.  VIOLATED BYELAWS/COMMUNIQUE/OPERATING INSTRUCTIONS OF CDSL 1  1 
83.  DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY 1  1 
84.  VIOLATED SEBI (INTERMEDIARIES) REGULATIONS, 2008 1  1 
85.  WITHDREW LARGE AMOUNTS OF CASH AND DEPOSITED IN GROUP COMPANY 1  1 
86.  VIOLATED DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS 1  1 
87.  DEALT AND INTRODUCED TAINTED/STOLEN/FABRICATED/DUPLICATE SHARES 1  1 
88.  INDULGED IN UNAUTHORISED CARRY FORWARD TRANSACTIONS 1  1 
89.  DID NOT FILE FIRST INFORMATION REPORT IN RESPECT OF STOLEN/FAKE/FORGED SHARES 1  1 
90.  DID NOT OBTAIN PRIOR PERMISSION FROM SEBI FOR CHANGE IN FIRM'S/COMPANY'S CONSTITUTION 1  1 
91.  FAILED TO PAY PENALTY AMOUNT TO SEBI 1  1 
92.  DID NOT ADHERE TO CONDITIONS OF PROVISIONAL REGISTRATION 1  1 
93.  DEFAULTED/IRREGULARITIES IN PAY-IN OBLIGATIONS 1  1 
94.  FAILED TO ENTER INTO AGREEMENT WITH SUB-BROKERS 1  1 
95.  VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009 1  1 
96.  VIOLATED SEBI (BUY-BACK OF SECURITIES) REGULATIONS, 2018 1  1 
97.  VIOLATED SECURITIES CONTRACTS (REGULATION) (STOCK EXCHANGES & CLEARING CORPORATION) REGULATIONS, 2018 1  1 
98.  VIOLATED SEBI (CERTIFICATION OF ASSOCIATED PERSONS IN SECURITIES MARKETS) REGULATIONS, 2007 1  1 
99.  VIOLATED SEBI (INFRASTRUCTURE INVESTMENT TRUSTS) REGULATIONS, 2014 1  1 
100.  VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 2020 1  1 
101.  VIOLATION OF OPERATIONAL FRAMEWORK FOR TRANSACTIONS IN DEFAULTED DEBT SECURITIES 1  1 
102.  VIOLATED SEBI (CUSTODIAN) REGULATIONS, 1996 1  1 
103.  VIOLATED SEBI (REAL ESTATE INVESTMENT TRUSTS) REGULATIONS, 2014 1  1 
  TOTAL 2607 * 16903 **
* 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. 1915)
** 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. 15689)

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