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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: DID NOT OBTAIN WRITTEN CONSENT OF CLIENTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person WYSCARE SECURITIES PVT.LTD.

(Member : BGSE)  
  DID NOT MAINTAIN CLIENT AGREEMENTS

ALLOWED THIRD PARTY TO PLACE ORDERS FOR CLIENTS WITHOUT OBTAINING WRITTEN CONSENT FROM CLIENTS

DID NOT OBTAIN ACKNOWLEDGEMENT ON COUNTERFOILS OF CONTRACT NOTES

DEFAULTED IN VERIFYING FINANCIAL CAPABILITIES AND NET WORTH OF CLIENTS

DID NOT EXERCISE DUE CARE & DILIGENCE WHILE EXECUTING SUBSTANTIAL TRANSACTIONS IN HOME TRADE LTD.   		SUSPENDED REGISTRATION AS STOCK BROKER FROM 24-OCT-2006 TO 07-NOV-2006

03-OCT-2006 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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