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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.

SUB-BROKERS: PROVIDED WRONG/INCOMPLETE INFORMATION TO SEBI/DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person URMILA DHYAWALA,M/S

(Member : UPSE,Sub-Broker of UPSE SECURITIES LTD., Member : BSE)  
Click here to view complete history of this specific entity/person URMILA DHYAWALA
  		DID NOT FURNISH REQUISITE INFORMATION DURING INVESTIGATION

DID NOT ISSUE CONTRACT NOTES

DID NOT ISSUANCE OF CONTRACT NOTES IN TIME

DID NOT MAINTAIN CLIENT DATABASE

DEALT WITH UN-REGISTERED SUB-BROKERS   		SUSPENDED REGISTRATION AS SUB-BROKER FROM 16-DEC-2010 TO 15-DEC-2011

SUSPENDED REGISTRATION AS STOCK BROKER FROM 16-DEC-2010 TO 15-DEC-2011

25-NOV-2010 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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