| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
C D INTEGRATED SERVICES LTD.
(PAN:AABCC2483R)
(Depository Participants : NSDL,Member : BSE/NSE)
|
|
|
ENGAGED IN BUSINESS OTHER THAN SECURITIES
PROVIDED FUND TO SUBSIDIARIES FOR TRADING PURPOSES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS
SUBMITTED INCORRECT INCREASED NET-WORTH TO STOCK EXCHANGE
DID NOT UPLOAD DETAILS OF CLIENT TO STOCK EXCHANGE UNDER FUNDS AND SECURITIES MODULE OF ENHANCED SUPERVISION
DEFAULTED IN MAINTENANCE OF CLIENT LEDGER
|
IMPOSED PENALTY RS.5,00,000
14-AUG-2020
|
|
| 182 |
|
|
C.MACKERTICH LTD.
(Member : CSE)
|
|
|
|
AJAY KUMAR KAYAN
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.3,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-APR-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.3,00,00,000
|
| 183 |
|
|
CAPMAN CAPITAL MARKETS LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF TODAY’S WRITING PRODUCTS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF TODAYS WRITING PRODUCTS LTD.
|
IMPOSED PENALTY RS.2,00,000
27-AUG-2009
|
|
| 184 |
|
|
CAPSTOCKS & SECURITIES (INDIA) PVT.LTD.
(PAN:AABCC6234A)
(Member : NSE/BSE/MCX)
|
|
|
ALLOWED CLIENTS TO EXECUTE TRANSACTIONS WITHOUT ADEQUATE MARGIN SUPPORT IN SYSTEM AND PASSED CONSEQUENT PENALTIES TO THE CLIENTS
|
IMPOSED PENALTY RS.2,50,000
29-DEC-2017
|
|
| 185 |
|
|
CAPSTOCKS & SECURITIES (INDIA) PVT.LTD.
(PAN:AABCC6234A)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
DID NOT HAVE CALL RECORDING SYSTEM FOR PREVENTION OF UNAUTHORIZED TRADING
DISCREPANCIES IN ISSUANCE OF DELIVERY INSTRUCTION SLIPS AND EXECUTIONS
DID NOT CAPTURE DETAILS OF RECEIVED DATE IN ACCOUNT MODIFICATION FORM
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2021
|
|
| 186 |
|
|
CAPSTOCKS & SECURITIES (INDIA) PVT.LTD.
(PAN:AABCC6234A)
(Member : BSE/NSE/MCX)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
MADE INCORRECT REPORTING OF DATA TO STOCK EXCHANGES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.15,00,000
31-JAN-2023
|
|
| 187 |
|
|
CARNATION FINANCIAL SERVICES LTD.
(Member : NSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS ,DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JUBILANT ORGANOSYS LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED/SYNCHRONIZED TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF JUBILANT ORGANOSYS LTD.
|
IMPOSED PENALTY RS.2,50,000
26-FEB-2010
|
SAT: APPLICATION FILED TO SEEK CONDONATION OF DELAY OF 20 DAYS IN FILING APPEAL IS ACCEPTED, VIDE ORDER DATED 30/08/2010
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 188 |
|
|
CAVALIER SECURITIES LIMITED
(PAN:AAACC6370Q)
(Member : ASE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF INDIA POLYSPIN LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIA POLYSPIN LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIA POLYSPIN LTD.
|
IMPOSED PENALTY RS.6,00,000
27-OCT-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 189 |
|
|
CAVALIER SECURITIES LIMITED
(PAN:AAACC6370Q)
(Member : ASE)
|
|
|
INDULGED IN ISSUANCE OF MISLEADING/PREMATURE CORPORATE ANNOUNCEMENTS IN MATTER OF ALKA INDIA LTD.
|
IMPOSED PENALTY RS.2,50,000
29-OCT-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 190 |
|
|
CD EQUISEARCH PVT.LTD.
(Member : BSE/NSE/MCX)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
IMPOSED PENALTY RS.5,00,000
12-MAR-2019
|
|
| 191 |
|
|
CHANDRAKANT GANDHI STOCK BROKERS PVT.LTD.
(CIN:U67120GJ1997PTC033351)
(Member : VSE)
|
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
|
IMPOSED PENALTY RS.15,000
15-DEC-1999
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 15/12/1999 SET ASIDE
|
| 192 |
|
|
CHENNAI COMMODITIES
(PAN:AGOPG2342M)
(Member : MCX)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DELAY IN SETTLING OF CLIENT’S FUNDS AND/OR SECURITIES
DID NOT ACCOUNT FOR STATUTORY EXPENSES SUCH AS STAMP DUTY, GST AND CTT IN PROFIT AND LOSS ACCOUNT
|
IMPOSED PENALTY RS.5,00,000
14-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 13/12/2023 DIRECTED TO PAY RS.5,66,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 193 |
|
|
CHINTAMANI SHARES & BROKING LTD.
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIPS OF BSEL INFRASTRUCTURE REALTY LTD. AND MAHARASHTRA SEAMLESS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BSEL INFRASTRUCTURE REALTY LTD. AND MAHARASHTRA SEAMLESS LTD.
|
IMPOSED PENALTY RS.2,00,000
28-AUG-2009
|
SAT: APPEAL DISMISSED, LEAVING PARTIES TO BEAR THEIR OWN COSTS
|
| 194 |
|
|
CHOICE EQUITY BROKING PVT.LTD.
(PAN:AADCC8390B)
(Member : BSE/NSE)
|
|
|
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
|
IMPOSED PENALTY RS.10,00,000
30-MAY-2019
|
SAT: SAT VIDE ITS ORDER DATED 12/01/2022 SET ASIDE IMPUGNED ORDER DATED 30/05/2019 AND MATTER REMITTED TO AO TO PASS A FRESH ORDER IN ACCORDANCE WITH LAW
SEBI VIDE ITS ORDER DATED 31/05/2022 DISPOSE OF THE PROCEEDINGS INITIATED VIDE SCN DATED 26/02/2019 AS THE REVISED DATA DID NOT INCLUDE MISUTILISATION OF CREDIT BALANCE CLIENT FUNDS BY THE NOTICEE
|
| 195 |
|
|
CHOICE EQUITY BROKING PVT.LTD.
(PAN:AADCC8390B)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND STRUCTURED TRANSACTIONS IN SCRIP OF BHAGERIA INDUSTRIES LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 9 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BHAGERIA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.25,00,000
31-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 06/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER.DIRECTED APPELLANTS TO DEPOSIT PENALTY AMOUNT PURSUANT TO IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 15/09/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER WITHIN TWO WEEKS THEREAFTER
|
| 196 |
|
|
CHOICE EQUITY BROKING PVT.LTD.
(PAN:AADCC8390B)
(Member : BSE/NSE/MSEI)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF WOMEN’S NEXT LOUNGERIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGE AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF WOMEN’S NEXT LOUNGERIES LTD.
|
IMPOSED PENALTY RS.2,00,000
28-FEB-2018
|
|
| 197 |
|
|
CHOICE EQUITY BROKING PVT.LTD.
(PAN:AADCC8390B)
(Member : NSE/MCX)
|
|
|
TERMINAL OPERATED BY A PERSON OTHER THAN APPROVED USER
MOVED FUNDS BETWEEN CLIENT AND AUTHORIZED PERSON
AUTHORIZED PERSON NOT WORKING FROM ADDRESS PROVIDED TO STOCK EXCHANGES
DID NOT REPORT CLIENTS MAPPED TO AUTHORIZED PERSONS
|
IMPOSED PENALTY RS.2,00,000
09-OCT-2024
|
SEBI VIDE ITS NOTICE DATED 01/01/2025 DIRECTED TO PAY RS.2,09,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 16/01/2025 CANCELLED THE RECOVERY CERTIFICATE NO.8494 OF 2025 DATED 01/01/2025
|
| 198 |
|
|
CIL SECURITIES LTD.
(Member : NSE)
|
|
|
|
K.K.MAHESHWARI
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF CORRECTION NOTE BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT EXERCISE DUE CARE AND DILIGENCE BY OVER SIGHTING TRANSACTIONS DONE ON TRADING TERMINALS GRANTED TO SUB BROKERS
|
IMPOSED PENALTY RS.1,00,000
27-NOV-2006
|
|
| 199 |
|
|
CLEAN FINANCE & INVESTMENT LTD.
(PAN:AAACC0082D)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF BSEL INFRASTRUCTURE REALTY LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(3) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BSEL INFRASTRUCTURE REALTY LTD.
|
IMPOSED PENALTY RS.2,00,000
31-AUG-2012
|
|
| 200 |
|
|
CLEAN FINANCE & INVESTMENT LTD.
(PAN:AAACC0082D)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND STRUCTURED DEALS IN SCRIP OF JINDAL STAINLESS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT FOR SUB-BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF JINDAL STAINLESS LTD.
|
IMPOSED PENALTY RS.50,000
28-FEB-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 10 of 46
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