| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
4A SECURITIES LTD.
(PAN:AACCD8482C)
|
|
|
DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.2,00,000
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 12/07/2023 DIRECTED TO PAY RS.2,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/08/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 2 |
|
|
ADANI AGRO PVT.LTD.
(Along with : ADANI ENTERPRISES LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.10,50,000 AS PER CONSENT ORDER
|
| 3 |
|
|
ADANI ENTERPRISES LTD.
(Along with : ADVANCE EXPORTS LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 4 |
|
|
ADANI ENTERPRISES LTD.
(Along with : ADVANCE EXPORTS LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 5 |
|
|
ADANI ENTERPRISES LTD.
(Along with : ADVANCE EXPORTS LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 6 |
|
|
ADANI ENTERPRISES LTD.
(Along with : ADVANCE EXPORTS LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 7 |
|
|
ADANI ENTERPRISES LTD.
(Along with : ADVANCE EXPORTS LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.10,50,000 AS PER CONSENT ORDER
|
| 8 |
|
|
ADANI ENTERPRISES LTD.
(Along with : ADVANCE EXPORTS LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 9 |
|
|
ADANI ENTERPRISES LTD.
(Along with : ADVANCE EXPORTS LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 10 |
|
|
ADANI IMPEX PVT.LTD.
(CIN:U51100GJ1998PTC034758)
(Along with : ADANI ENTERPRISES LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 11 |
|
|
ADANI PROPERTIES PVT.LTD.
(Along with : ADANI ENTERPRISES LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 12 |
|
|
ADVANCE EXPORTS LTD.
(Along with : ADANI ENTERPRISES LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 13 |
|
|
ALANKIT IMAGINATIONS LTD.
(PAN:AABCA1078L)
|
|
|
FACILITATED CLIENTS IN EXECUTING MANIPULATIVE REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE WITHOUT HAVING A MECHANISM IN PLACE TO RECOGNIZE THE SAME VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
28-APR-2023
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 14 |
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
(PAN:AAECA3909P)
|
|
|
|
ABNISH KUMAR SUDHANSHU
PAN:AXQPS1237C
|
|
|
NARAYAN JEE THAKUR
PAN:ADIPT8774F
|
|
|
PAWAN MISHRA
PAN:AMIPM6148D
|
|
|
SUJEET KUMAR SONA
PAN:CWTPS3069L
|
|
CREATED PLEDGE OF SECUTITIES OF ITS CLIENTS AND DID NOT MAKE DISCLOSURE TO NSE VIOLATING CLAUSES A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT ITS DP ACCOUNTS TO NSE VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-AUG-2017 UNTIL FURTHER ORDERS
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 22-AUG-2017 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-AUG-2017 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 22-AUG-2017 UNTIL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD. AND AADYA COMMODITIES PVT.LTD. AND MR.SANJEEVA KUMAR SINHA EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
22-AUG-2017
|
|
| 15 |
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
(PAN:AAECA3909P)
|
|
|
DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
17-APR-2023
|
SEBI VIDE ITS NOTICE DATED 30/07/2024 DIRECTED TO PAY RS.5,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 16 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 02/05/2023 DIRECTED TO PAY RS.1,12,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/06/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 17 |
|
|
APM FINANCIAL CONSULTANTS PVT.LTD.
(PAN:AABCA8631R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SELF TRADES IN SCRIP OF RADICO KHAITAN LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RADICO KHAITAN LTD.
|
IMPOSED PENALTY RS.1,25,000
11-JUL-2011
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 18 |
|
|
ARIHANT CAPITAL MARKETS LTD.
(PAN:AABCA6832G)
|
|
|
ALLEGED FAILURE IN FILING OF SUSPICIOUS TRANSACTION REPORTS TO FINANCIAL INTELLIGENCE UNIT – INDIA REGARDING CERTAIN DISCREPANCIES NOTED BY APPLICANT IN KNOW YOUR CUSTOMER (KYC) DOCUMENTS OF CLIENTS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,50,000 VIDE CONSENT ORDER)
26-APR-2023
|
|
| 19 |
|
|
ATLANTA SHARE SHOPEE LTD.
(PAN:AAFCA0584K)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE IN AVOIDING SUCH EXECUTION OF TRADDES ON BEHALF OF GROUP ENTITIES/NOTICEES AND FACILITATED GROUP ENTITIES IN PLACING/EXECUTING HUGE TRADES RESULTING INTO CREATION OF ARTIFICIAL VOLUME/PRICE RISE VIOLATING REGULATION 15 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF SARANG CHEMICALS LTD.
|
IMPOSED PENALTY
24-JAN-2020
|
SEBI VIDE ITS NOTICE DATED 27/01/2022 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 29/11/2022 RE-IMPOSED PENALTY RS.2 LAC U/S 15HB OF SEBI ACT,1992 AND DIRECTED TO PAY WITHIN FORTY-FIVE DAYS FROM DATE OF THIS ORDER
|
| 20 |
|
|
ATS SHARE BROKERS PVT.LTD.
(PAN:AACCJ1755C)
|
|
|
DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.2,00,000
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 14/09/2023 DIRECTED TO PAY RS.2,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 17/10/2023 CANCELLED RECOVERY CERTIFICATE NO.7157 OF 2023 DATED 14/09/2023
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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