| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
MAGNUM EQUITY BROKING LTD.
(Member : BSE)
|
|
|
INDULGED IN CREATION OF FALSE & MISLEADING APPEARANCE OF TRADING BY PUTTING ABNORMALLY LARGE ORDERS OF SHARES AT MUCH BELOW PREVAILING MARKET PRICES IN SCRIPS OF POCHIRAJU INDUSTRIES LTD.,CAMBRIDGE TECHNOLOGY ENTERPRISES LTD.,MINDTREE CONSULTING LTD.,SHREE ASHTAVINAYAK CINE VISION LTD.,PYRAMID SAIMIRA THEATRE LTD. & AL CHAMPDANY INDUSTRIES LTD. ON THE LISTING DATE
|
DIRECTED TO BE CAUTIOUS AND EXERCISE DUE DILIGENCE WHILE DEALING ON BEHALF OF THEIR CLIENTS AS A STOCK BROKER
26-APR-2007
|
|
| 2 |
|
|
MANIPUT INVESTMENTS PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF FALSE & MISLEADING APPEARANCE OF TRADING BY PUTTING ABNORMALLY LARGE ORDERS OF SHARES AT MUCH BELOW PREVAILING MARKET PRICES IN SCRIPS OF POCHIRAJU INDUSTRIES LTD.,CAMBRIDGE TECHNOLOGY ENTERPRISES LTD.,MINDTREE CONSULTING LTD.,SHREE ASHTAVINAYAK CINE VISION LTD.,PYRAMID SAIMIRA THEATRE LTD. & AL CHAMPDANY INDUSTRIES LTD. ON THE LISTING DATE
|
DIRECTED TO BE CAUTIOUS AND EXERCISE DUE DILIGENCE WHILE DEALING ON BEHALF OF THEIR CLIENTS AS A STOCK BROKER
26-APR-2007
|
|
| 3 |
|
|
MBD SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
VIOLATED CLAUSE A(2) OF CODE OF CONDUCT FOR STOCK BROKERS WHILE DEALING IN SCRIP OF PRUDENTIAL PHARMACEUTICALS LTD.
|
DIRECTED TO BE CAUTIOUS AND EXERCISE DUE DILIGENCE WHILE DEALING ON BEHALF OF THEIR CLIENTS AS A STOCK BROKER
20-MAR-2009
|
|
| 4 |
|
|
PRASHANT JAYANTILAL PATEL,M/S
(Member : NSE)
|
|
|
|
PRASHANT JAYANTILAL PATEL
|
|
INDULGED IN CREATION OF FALSE & MISLEADING APPEARANCE OF TRADING BY PUTTING ABNORMALLY LARGE ORDERS OF SHARES AT MUCH BELOW PREVAILING MARKET PRICES IN SCRIPS OF POCHIRAJU INDUSTRIES LTD.,CAMBRIDGE TECHNOLOGY ENTERPRISES LTD.,MINDTREE CONSULTING LTD.,SHREE ASHTAVINAYAK CINE VISION LTD.,PYRAMID SAIMIRA THEATRE LTD. & AL CHAMPDANY INDUSTRIES LTD. ON THE LISTING DATE
|
DIRECTED TO BE CAUTIOUS AND EXERCISE DUE DILIGENCE WHILE DEALING ON BEHALF OF THEIR CLIENTS AS A STOCK BROKER
26-APR-2007
|
|
| 5 |
|
|
RSS INVESTMENTS PVT.LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF FALSE & MISLEADING APPEARANCE OF TRADING BY PUTTING ABNORMALLY LARGE ORDERS OF SHARES AT MUCH BELOW PREVAILING MARKET PRICES IN SCRIPS OF POCHIRAJU INDUSTRIES LTD.,CAMBRIDGE TECHNOLOGY ENTERPRISES LTD.,MINDTREE CONSULTING LTD.,SHREE ASHTAVINAYAK CINE VISION LTD.,PYRAMID SAIMIRA THEATRE LTD. & AL CHAMPDANY INDUSTRIES LTD. ON THE LISTING DATE
|
DIRECTED TO BE CAUTIOUS AND EXERCISE DUE DILIGENCE WHILE DEALING ON BEHALF OF THEIR CLIENTS AS A STOCK BROKER
26-APR-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-NOV-2008
|
AD INTERIM EX-PARTE ORDERS DATED 26/04/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000.00 AS PER CONSENT ORDER DATED 28/11/2008
|
| 6 |
|
|
SHRI PARASRAM HOLDINGS PVT.LTD.
(PAN:AAACS4487J)
(Member : BSE)
|
|
|
INDULGED IN SYNCHRONIZED AND CIRCULAR TRANSACTIONS VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GANGOTRI TEXTILES LTD.
|
DIRECTED TO BE CAUTIOUS AND EXERCISE DUE DILIGENCE WHILE DEALING ON BEHALF OF THEIR CLIENTS AS A STOCK BROKER
16-MAY-2017
|
|
| 7 |
|
|
SHRI PARASRAM HOLDINGS PVT.LTD.
(PAN:AAACS4487J)
(Member : NSE)
|
|
|
INDULGED IN SYNCHRONIZED AND CIRCULAR TRANSACTIONS VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF GANGOTRI TEXTILES LTD.
|
DIRECTED TO BE CAUTIOUS AND EXERCISE DUE DILIGENCE WHILE DEALING ON BEHALF OF THEIR CLIENTS AS A STOCK BROKER
16-MAY-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
