| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ATUL M.CHOKSHI,M/S
(Member : ASE)
|
|
|
|
ATUL MANHARLAL CHOKSHI
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT CHARGE MINIMUM BROKERAGE
USED ACCOUNT OF SUB-BROKER TO GENERATE ADDITIONAL PROFIT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
12-AUG-1999
|
|
| 2 |
|
|
BERKELEY SECURITIES LTD.
(PAN:AADCB7787M)
(Member : NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT FOLLOW NORMS FOR NOMENCLATURE OF ACCOUNTS
DISCREPANCIES IN STOCK RECONCILIATION
PASSED PENALTY ON SHORT REPORTING OF MARGIN
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
DISCREPANCIES IN CALCULATION OF NET WORTH
UPLOADED INCORRECT DEMAT ACCOUNT NO.OFCDSL ACCOUNT NO.1207550000027121 ON STOCK EXCHANGE PLATFORM
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
DISCREPANCIES IN RESPECT TO MOBILE NUMBER IN UCC DETAILS UPDATED TO STOCK EXCHANGE
DID NOT MAKE DISCLOSURE OF SUSPICIOUS TRANSACTION ALERTS GENERATED IN BSE E-BOSS PORTAL
DELAY IN COMPLIANCE OF CYBER SECURITY AND CYBER RESILIENCE
ENGAGED IN BUSINESS OTHER THAN SECURITIES
SUBMITTED INCORRECT DETAILS OF OFFICE PIN CODE OF TERMINAL
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
CHARGED BROKERAGE HIGHER THAN PRESCRIBED RATE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2024
29-OCT-2024
|
|
| 3 |
|
|
BERKELEY SECURITIES LTD.
(PAN:AADCB7787M)
(Member : BSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT FOLLOW NORMS FOR NOMENCLATURE OF ACCOUNTS
DISCREPANCIES IN STOCK RECONCILIATION
PASSED PENALTY ON SHORT REPORTING OF MARGIN
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
DISCREPANCIES IN CALCULATION OF NET WORTH
UPLOADED INCORRECT DEMAT ACCOUNT NO.OFCDSL ACCOUNT NO.1207550000027121 ON STOCK EXCHANGE PLATFORM
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
DISCREPANCIES IN RESPECT TO MOBILE NUMBER IN UCC DETAILS UPDATED TO STOCK EXCHANGE
DID NOT MAKE DISCLOSURE OF SUSPICIOUS TRANSACTION ALERTS GENERATED IN BSE E-BOSS PORTAL
DELAY IN COMPLIANCE OF CYBER SECURITY AND CYBER RESILIENCE
ENGAGED IN BUSINESS OTHER THAN SECURITIES
SUBMITTED INCORRECT DETAILS OF OFFICE PIN CODE OF TERMINAL
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
CHARGED BROKERAGE HIGHER THAN PRESCRIBED RATE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2024
29-OCT-2024
|
|
| 4 |
|
|
HANUMAN SHARE & STOCK BROKERS LTD.
(Member : ASE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEFAULTED IN MAINTENANCE OF CLIENT LEDGER
DID NOT COLLECT MARGINS FROM CLIENTS
CHARGED BROKERAGE HIGHER THAN PRESCRIBED RATE
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
IMPOSED PENALTY RS.20,000
29-SEP-2005
|
|
| 5 |
|
|
HARISH C.THAKKAR,M/S
(Member : VSE)
|
|
|
|
HARISH C.THAKKAR
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT CHARGE PRESCRIBED BROKERAGE
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 15-OCT-1998 TO 14-JAN-1999
08-OCT-1998
|
|
| 6 |
|
|
INTERFACE BROKERAGE & RESEARCH LTD.
(Member : ASE)
|
|
|
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT CHARGE MINIMUM BROKERAGE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-MAY-1999
|
|
| 7 |
|
|
P.K.KHANNA & CO.
(Member : LSE)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT MAINTAIN CLIENT DATABASE
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT CHARGE BROKERAGE
CHARGED DIFFERENT RATES OF BROKERAGE FROM DIFFERENT CLIENTS
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 13-NOV-2006 TO 12-FEB-2007
23-OCT-2006
|
|
| 8 |
|
|
PRADIPTA KUMAR DASH,M/S
(Member : BHSE)
|
|
|
|
PRADIPTA KUMAR DASH
|
|
DID NOT ISSUE CONTRACT NOTES
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
DID NOT CHARGE BROKERAGE
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEPARATE CLIENT ACCOUNT
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 04-AUG-1998 TO 03-NOV-1998
23-JUL-1998
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
