| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALKA SECURITIES LTD.
(Member : NSE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010
SEBI VIDE ORDER DATED 28/01/2010 DIRECTED 1.NSE AND BSE TO CONSTITUTE A COMMITTEE OF THREE MEMBERS WHOSE NAMES WILL BE SELECTED BY SEBI WITHIN TWO DAYS FOR PURPOSE OF RELEASE OF SECURITIES TO RESPECTIVE CLIENTS 2.ALKA SECURITIES LTD. AND MAHESH KOTHARI SHARES & STOCK BROKERS PVT.LTD. TO RECONCILE CLIENTWISE SECURITIES REGISTER WITHIN TEN WORKING DAYS 3.MARKET INTERMEDIARIES REGULATION & SUPERVISION DEPT. TO LOOK INTO BOOKS OF ACCOUNTS OF AFORESAID BROKERS AND PROCEDURES ADOPTED BY THEM
SAT: IMPUGNED COMMUNICATION, DECLINING REQUEST TO OPEN FRESH DEPOSITORY ACCOUNT FOR EXISTING CLIENTS, SET ASIDE, VIDE ORDER DATED 26/04/2010
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 28/07/2009 SET ASIDE AND DIRECTED SEBI TO PASS FRESH ORDER WITH NO ORDER AS TO COSTS
SAT: DIRECTED SEBI THAT IN CASE IT PROPOSES TO PROCEED AGAINST APPLICANTS UNDER SECTION 11B,IT SHOULD ISSUE SHOW CAUSE NOTICE NOT LATER THAN 31/08/2010 AND APPLICANT SHALL RESPOND WITHIN TWO WEEKS FROM DATE OF ITS RECEIPT, WHEREAFTER SEBI SHALL PROCEED IN MATTER AND CONCLUDE THE PROCEEDINGS BEFORE END OF THIS YEAR
SAT: VIDE ITS ORDER DATED 16/11/2010 DIRECTED SEBI TO RELEASE SHARES TO PERSONS AS RECOMMENDED BY THREE MEMBERS COMMITTEE ON CONDITIONS MENTIONED IN THEIR REPORT AND AFTER TAKING INTO ACCOUNT THE REPRESENTATION
SEBI VIDE ITS ORDER DATED 30/12/2010 1.RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING,SELLING OR OTHERWISE DEALING IN SECURITIES,IN PROPRIETARY ACCOUNTS,DIRECTLY OR INDIRECTLY, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER AND 2.DIRECTED TO NOT TO TAKE FRESH CLIENTS TILL COMPLETION OF ENQUIRY AND PASSING OF FINAL ORDERS THEREON
SAT: SAT VIDE ITS ORDER DATED 10/03/2017, IN ALL THE APPEALS (EXCEPT IN APPEAL NO.41 OF 2014) INTEREST DEMANDED BY RO FROM THE DATE OF THIS ORDERS ARE QUASHED AND SET ASIDED AND ALL THESE MATTERS ARE RESTORED TO THE FILE OF RO FOR FRESH COMPUTATION OF INTEREST IN TERMS OF THIS DECISION
|
| 2 |
|
|
ASHIKA STOCK BROKING LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2) NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 REVOKED DIRECTIONS TO THE EXTENT OF TAKING FRESH CLIENTS HOWEVER DIRECTION OF RESTRAIN SHALL CONTINUE
SAT: SAT VIDE ITS ORDER DATED 12/09/2011 DIRECTED SEBI TO CONCLUDE INVESTIGATIONS EXPETIOUSLY. DIRECTIONS ISSUED VIDE EARLIER EX-PARTE ORDER DATED 02/12/2010 WILL BE VACATED AFTER SUBMISSION OF UNDERTAKING BY APPELLANT WITHIN A WEEK FROM DATE OF ORDER. NO ORDER AS TO COSTS
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 3 |
|
|
ASHIKA STOCK BROKING LTD.
(Member : OTC)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2) NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 REVOKED DIRECTIONS TO THE EXTENT OF TAKING FRESH CLIENTS HOWEVER DIRECTION OF RESTRAIN SHALL CONTINUE
SAT: SAT VIDE ITS ORDER DATED 12/09/2011 DIRECTED SEBI TO CONCLUDE INVESTIGATIONS EXPETIOUSLY. DIRECTIONS ISSUED VIDE EARLIER EX-PARTE ORDER DATED 02/12/2010 WILL BE VACATED AFTER SUBMISSION OF UNDERTAKING BY APPELLANT WITHIN A WEEK FROM DATE OF ORDER. NO ORDER AS TO COSTS
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 4 |
|
|
ASHIKA STOCK BROKING LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2) NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 REVOKED DIRECTIONS TO THE EXTENT OF TAKING FRESH CLIENTS HOWEVER DIRECTION OF RESTRAIN SHALL CONTINUE
SAT: SAT VIDE ITS ORDER DATED 12/09/2011 DIRECTED SEBI TO CONCLUDE INVESTIGATIONS EXPETIOUSLY. SAT: DIRECTIONS ISSUED VIDE EARLIER EX-PARTE ORDER DATED 02/12/2010 WILL BE VACATED AFTER SUBMISSION OF UNDERTAKING BY APPELLANT WITHIN A WEEK FROM DATE OF ORDER. NO ORDER AS TO COSTS
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 5 |
|
|
BABA BHOOTNATH TRADE & COMMERCE PVT.LTD.
(Member : BSE)
|
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-JAN-2014 TO 04-FEB-2014
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 11/05/2012 CONFIRMED DIRECTIONS ISSUED VIDE ITS ORDER DATED 28/12/2011
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 31/12/2013 SUSPENDED THE CERTIFICATE OF REGISTRATION OF THE NOTICEE FOR A PERIOD OF 15 DAYS. FURTHER ON AND FROM THE DATE OF THIS ORDER, DIRECTIONS ISSUED VIDE ITERIM ORDER DATED 28/12/2011 READ WITH CONFIRMATORY ORDER DATED 11/05/2012 WOULD NOT CONTINUE FURTHER
|
| 6 |
|
|
BABA BHOOTNATH TRADE & COMMERCE PVT.LTD.
(Member : NSE)
|
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-JAN-2014 TO 04-FEB-2014
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 11/05/2012 CONFIRMED DIRECTIONS ISSUED VIDE ITS ORDER DATED 28/12/2011
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 31/12/2013 SUSPENDED THE CERTIFICATE OF REGISTRATION OF THE NOTICEE FOR A PERIOD OF 15 DAYS. FURTHER ON AND FROM THE DATE OF THIS ORDER, DIRECTIONS ISSUED VIDE ITERIM ORDER DATED 28/12/2011 READ WITH CONFIRMATORY ORDER DATED 11/05/2012 WOULD NOT CONTINUE FURTHER
|
| 7 |
|
|
MAHESH KOTHARI SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010
SEBI VIDE ORDER DATED 28/01/2010 DIRECTED 1.NSE AND BSE TO CONSTITUTE A COMMITTEE OF THREE MEMBERS WHOSE NAMES WILL BE SELECTED BY SEBI WITHIN TWO DAYS FOR PURPOSE OF RELEASE OF SECURITIES TO RESPECTIVE CLIENTS 2.ALKA SECURITIES LTD. AND MAHESH KOTHARI SHARES & STOCK BROKERS PVT.LTD. TO RECONCILE CLIENTWISE SECURITIES REGISTER WITHIN TEN WORKING DAYS 3.MARKET INTERMEDIARIES REGULATION & SUPERVISION DEPT. TO LOOK INTO BOOKS OF ACCOUNTS OF AFORESAID BROKERS AND PROCEDURES ADOPTED BY THEM
SAT: IMPUGNED COMMUNICATION, DECLINING REQUEST TO OPEN FRESH DEPOSITORY ACCOUNT FOR EXISTING CLIENTS, SET ASIDE, VIDE ORDER DATED 26/04/2010
SAT: DIRECTED SEBI THAT IN CASE IT PROPOSES TO PROCEED AGAINST APPLICANTS UNDER SECTION 11B,IT SHOULD ISSUE SHOW CAUSE NOTICE NOT LATER THAN 31/08/2010 AND APPLICANT SHALL RESPOND WITHIN TWO WEEKS FROM DATE OF ITS RECEIPT, WHEREAFTER SEBI SHALL PROCEED IN MATTER AND CONCLUDE PROCEEDINGS BEFORE END OF THIS YEAR
SAT: DIRECTED SEBI VIDE ORDER DATED 16/11/2010, TO RELEASE THE SHARES TO PERSONS AS RECOMMENDED BY THREE MEMBERS COMMITTEE ON THE CONDITIONS MENTIONED IN THEIR REPORT AND AFTER TAKING INTO ACCOUNT THE REPRESENTATION
SEBI VIDE ITS ORDER DATED 30/12/2010 1.PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN PROPRIETARY ACCOUNTS, DIRECTLY OR INDIRECTLY,FOR A PERIOD OF ONE YEAR AND 2.DIRECTED NOT TO TAKE FRESH CLIENTS TILL COMPLETION OF ENQUIRY AND PASSING OF FINAL ORDERS THEREON
|
| 8 |
|
|
SAILESH H.DOSHI BROKING PVT.LTD.
(Member : BSE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 11/05/2012 RESTRAINED NOTICE FROM BUYING, SELLING OR OTHERWISE DEALTING IN SECURITIES IN ITS PROPRIETARY ACCOUNTS, DIRECTLY OR INDIRECTLY FOR A PERIOD OF TWO YEARS I.E. DATED 11/05/2012 TO 10/05/2014
|
| 9 |
|
|
SANCHAY FINCOM LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2) NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 HAS CONFIRMED INTERIM EX-PARTE DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 10 |
|
|
SANCHAY FINVEST LTD.
(Member : OTC)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2)NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 HAS CONFIRMED INTERIM EX-PARTE DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 11 |
|
|
SANCHAY FINVEST LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2)NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 HAS CONFIRMED INTERIM EX-PARTE DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 12 |
|
|
SANCHAY FINVEST LTD.
(Member : MPSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2)NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 HAS CONFIRMED INTERIM EX-PARTE DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
