| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
DIMENSIONAL SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 2 |
|
|
DIMENSIONAL SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 3 |
|
|
H.NYALCHAND FINANCIAL SERVICES LTD.
(Member : NSE)
|
|
|
|
DHIRENBHAI H.VORA
|
|
|
UDAY H.VORA
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST, AS PER CONSENT ORDER DATED 20/04/2009
|
| 4 |
|
|
H.NYALCHAND FINANCIAL SERVICES LTD.
(Member : ASE)
|
|
|
|
DHIRENBHAI H.VORA
|
|
|
UDAY H.VORA
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST, AS PER CONSENT ORDER DATED 20/04/2009
|
| 5 |
|
|
MATRIX EQUITRADE PVT.LTD.
(Member : BSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 6 |
|
|
MATRIX EQUITRADE PVT.LTD.
(Member : NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 7 |
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
|
|
RUPESHBHAI DEVENDRABHAI SHAH
|
|
|
UDAY H.VORA
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,64,054, (DISGORGEMENT AMOUNT RS.11,78,46,946,INTEREST RS.2,36,61,550 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
20-APR-2009
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST AND PAY RS.11,64,054.00 TOWARDS SETTLEMENT CHARGES SEPERATELY, AS PER CONSENT ORDER DATED 20/04/2009
|
| 8 |
|
|
RELIGARE SECURITIES LTD.
(Member : BSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 9 |
|
|
RELIGARE SECURITIES LTD.
(Member : OTC)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 10 |
|
|
RELIGARE SECURITIES LTD.
(Member : NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 11 |
|
|
RSS INVESTMENTS PVT.LTD.
(Member : NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-NOV-2008
|
AD INTERIM EX-PARTE ORDERS DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000.00 AS PER CONSENT ORDER DATED 28/11/2008
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
