| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
MPSE SECURITIES LTD.
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
ALLEGED FAILURE IN ENTERING INTO AGREEMENT WITH CLIENT AS REQUIRED UNDER CLAUSE D (2) OF CODE OF CONDUCT FOR BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED NON MAINTENANCE OF AGREEMENT AS REQUIRED UNDER CLAUSE 1(N) OF REGULATION 17 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN MAINTAINING TRIPARTILE AGREEMENT BETWEEN BROKER-SUB BROKER AND CLIENTS AS REQUIRED VIDE SEBI CIRCULAR NO.SEBI/MRD/DOPS/CIR-11/2005 DATED 12/05/2005
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,25,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
15-JUN-2009
|
|
| 22 |
|
|
MUNOTH FINANCIAL SERVICES LTD.
(Depository Participants : NSDL)
|
|
|
ALLEGED FAILURE IN MAINTAINING HIGH STANDARDS OF INTEGRITY, GOOD CORPORTAE POLICIES AND CORPORATE GOVERNANCE UNDER CLAUSES 3 AND 22 OF CODE OF CONDUCT OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
07-MAY-2009
|
|
| 23 |
|
|
NORTHEAST BROKING SERVICES LTD.
(Depository Participants : CDSL/NSDL,Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE, AND DILIGENCE WHILE ACCEPTING DEMAND DRAFTS FROM CLIENTS RESULTING IN MISUSE OF DEMAND DRAFTS BY EMPLOYEES
ALLEGED WRONGFUL CREDIT OF PAYMENTS RECEIVED FROM ONE CLIENT TO ANOTHER CLIENT
ALLEGED FAILURE IN ENSURING DELIVERY OF WEB LOGIN IDS AND PASSWORDS TO CLIENTS RESULTING IN NON-RECEIPT OF ELECTRONIC CONTRACT NOTES BY CLIENTS
ALLEGED FAILURE IN REPORTING TO NSE REGARDING FUNDING OF CLIENTS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 VIDE CONSENT ORDER)
03-FEB-2011
|
|
| 24 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
(PAN:AAACP2733Q)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF MISLEADING APPEARANCE OF TRADING THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD. AND DSQ BIOTECH LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SECURITIES MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,05,00,000 VIDE CONSENT ORDER)
16-FEB-2009
|
|
| 25 |
|
|
PRATIK STOCK VISION PVT.LTD.
(Member : NSE,Depository Participants : CDSL/NSDL)
|
|
|
ALLEGED INDULGENCE IN CARRY FORWARD TRANSACTIONS IN SCRIP OF GLOBAL TELESYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,25,000 VIDE CONSENT ORDER)
22-JUN-2009
|
|
| 26 |
|
|
PRATIK STOCK VISION PVT.LTD.
(Depository Participants : CDSL)
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
16-MAY-2011~
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 22/05/2007
ORDER DATED 12/01/2006 DISPOSED OFF AS APPLICANT PAID RS.15,00,000 AS PER CONSENT ORDER DATED 16/05/2011.
|
| 27 |
|
|
RTG SHARE BROKING LTD.
(PAN:AADCR9629L)
(Depository Participants : CDSL)
|
|
|
ALLEGED VIOLATION OF SEBI MASTER CIRCULAR NO.CIR/ISD/AML/3/2010 DATED 31/12/2010 & CIR/ISD/AML/1/2008 DATED 19/12/2008 AND CLAUSE 11 OF SCHEDULE III OF CODE OF CONDUCT READ WITH REGULATION 20AA AND 64 OF SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,55,000 VIDE CONSENT ORDER)
08-FEB-2018
|
|
| 28 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(PAN:AAECS9799R)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN FURNISHING OF INFORMATION , DELAY IN DEMATERIALISATION OR ISSUE OF CERTIFICATE OF SECURITIES VIOLATING REGULATION 19A, 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED FAILURE IN OPENING OF SEPARATE ACCOUNTS IN NAME OF EACH BENEFICIAL OWNER AND DID NOT FURNISH DETAILS OF SURRENDER OF SECURITIES TO ISSUER ALONGWITH CERTIFICATE OF SECURITY VIOLATING REGULATION 42(1) AND 54(4) OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
10-FEB-2010
|
|
| 29 |
|
|
SHRI PARASRAM HOLDINGS PVT.LTD.
(PAN:AAACS4487J)
(Depository Participants : NSDL,Member : NSE/BSE)
|
|
|
ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS
ALLEGED SUBMISSION OF FALSE INFORMATION TO INSPECTION OFFICIALS
ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT
ALLEGED NON-DISCLOSURE OF PROPRIETARY TRADING TO CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED TRANSFER OF TRADES FROM ONE PRO-ACCOUNT TO ANOTHER PRO-ACCOUNT
ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE IN MAINTENANCE OF DETAILS OF BRANCHES AND TRADING TERMINALS
ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE WHILE OPENING BENEFICIAL OWNER ACCOUNTS
ALLEGED INDULGENCE IN WITHDRAWAL OF LARGE CASH AND DEPOSIT IN GROUP COMPANY
ALLEGED FAILURE IN FRAMING ANY POLICY FRAMEWORK AND DID NOT APPOINT ANY PRINCIPAL OFFICER UNDER ANTI MONEY LAUNDERING STANDARDS
ALLEGED DISCREPANCIES IN DISTRIBUTION OF NEAT/CTSL TERMINALS AND ILLEGAL DISTRIBUTION OF TRADING TERMINALS AT BRANCHES
ALLEGED OPERATING TERMINALS FROM UNDISCLOSED PREMISES AND BY UNAUTHORISED USERS AT BRANCHES
ALLEGED PERMISSION TO DEALERS WITHOUT NCFM CERTIFICATION TO DEAL IN DERIVATIVE TRADING
ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.53,00,000 VIDE CONSENT ORDER)
06-SEP-2010
|
|
| 30 |
|
|
SMIFS SECURITIES LTD.
(Depository Participants : CDSL)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SOUTH EAST ASIA MARINE ENGINEERING & CONSTRUCTIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,00,000 VIDE CONSENT ORDER)
07-MAR-2011
|
|
| 31 |
|
|
SOUTH INDIAN BANK LTD.,THE
(Depository Participants : CDSL)
|
|
|
ALLEGED VIOLATION OF SECTIONS 14(3), 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED VIOLATION OF REGULATIONS 42(2),42(3),49(C),54(4),CLAUSES 1,2,3,4,15 AND 16 OF CODE OF CONDUCT PRESCRIBED UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
31-MAR-2010
|
|
| 32 |
|
|
SPT SECURITIES LTD.
(Member : NSE,Depository Participants : NSDL)
|
|
|
ALLEGED INDULGENCE IN OFF-MARKET TRANSACTIONS
ALLEGED IRREGULAR USE OF CLIENT’S SECURITIES AND FUNDS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 33 |
|
|
SUSHIL FINANCIAL SERVICES PVT.LTD.
(PAN:AAACS8454K)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
ALLEGED DEALING WITH A CLIENT WHO WAS RESTRAINED FROM DEALING IN SECURITIES MARKET BY SEBI VIOLATING REGULATIONS 27(XV) AND 27(XVII) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 READ WITH CLAUSES A(1) A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II UNDER REGULATION 7 OF STOCK BROKER REGULATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
24-NOV-2010
|
|
| 34 |
|
|
TR CAPITAL LTD.
(Depository Participants : CDSL)
|
|
|
ALLEGED FAILURE TO MAINTAIN PROOF OF DISPATCH OF HOLDING AND TRANSACTIONS STATEMENTS TO CLIENTS AND MAINTAIN ARMS LENGTH RELATIONSHIP BETWEEN ITS BROKING ACTIVITY AND OPERATIONS AS DEPOSITORY PARTICIPANT VIOLATING REGULATION 49(1) (C) OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996, INSTRUCTIONS 16.4 AND 16.8 OF CENTRAL DEPOSITORY SERVICES INDIA LTD. AND CLAUSES 1,3,4,11, 16 AND 20 OF THIRD SCHEDULE OF CODE OF CONDUCT FOR PARTICIPANTS READ WITH REGULATION 20AA OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,20,000 VIDE CONSENT ORDER)
22-MAR-2019
|
|
| 35 |
|
|
TRANSWORLD SECURITIES LTD.
(Depository Participants : NSDL,Member : NSE/BSE)
|
|
|
ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES
ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS
ALLEGED FAILURE IN TAKING PROOF OF IDENTITY AND ADDRESS OF ITS CLIENTS WHILE OPENING BENEFICIARY ACCOUNTS
ALLEGED FAILURE IN MAINTENANCE OF NOMINATION REGISTER
ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE IN APPOINTMENT OF NCFM CERTIFIED PERSONS IN SOME OF ITS BRANCHES
ALLEGED DELAY IN SUBMISSION OF ANNUAL ACCOUNTS AND NETWORTH CERTIFICATE TO NSDL
ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
27-MAY-2011
|
|
| 36 |
|
|
VENTURA SECURITIES LTD.
(PAN:AAACV1361J)
(Depository Participants : NSDL,Member : BSE/NSE/OTC)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF JAGSONPAL PHARMACEUTICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
29-DEC-2008
|
|
| 37 |
|
|
WELLWORTH SHARE & STOCK BROKING LTD.
(Depository Participants : CDSL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
23-JUL-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO REMIT A SUM OF RS.50,000 AS PER CONSENT ORDER DATED 23/07/2008
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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