| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 381 |
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 382 |
|
|
SMIFS SECURITIES LTD.
(Member : CSE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED FAILURE IN MAINTENANCE OF CLIENT DATABASE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
17-SEP-2008
|
|
| 383 |
|
|
SMIFS SECURITIES LTD.
(Member : NSE/CSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLYING 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 DSQ BIOTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,31,50,000 VIDE CONSENT ORDER)
28-SEP-2011
|
|
| 384 |
|
|
SONA GLOBAL LTD.
(PAN:AADCS7343C)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 385 |
|
|
SOVEREIGN SECURITIES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN COLLECTION OF MARGIN FROM CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED FAILURE TO FILE FIR IN RESPECT OF STOLEN/FAKE/FORGED SHARES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 386 |
|
|
SPARK SECURITIES PVT.LTD.
(PAN:AADCS6039D)
(Member : NSE/CSE)
|
|
|
ALLEGED INDULGENCE IN SYNCHRONIZED TRADING IN SCRIP OF JUBILANT ORGANOSYS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
24-JAN-2008
|
|
| 387 |
|
|
SPS SHARE BROKERS PVT.LTD.
(PAN:AABCS9622C)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 388 |
|
|
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
|
|
| 389 |
|
|
STANDARD CHARTERED-STCI CAPITAL MARKETS LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 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 DSQ BIOTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,00,000 VIDE CONSENT ORDER)
19-JUL-2010
|
|
| 390 |
|
|
SUNFLOWER BROKING PVT.LTD.
(PAN:AAACN5165E)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 391 |
|
|
SUNGLOW CAPITAL SERVICES LTD.
(PAN:AABCS8877R)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 392 |
|
|
SUNIDHI SECURITIES & FINANCE LTD.
(PAN:AADCS1657D)
(Member : BSE/NSE/OTC)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE AS A STOCK BROKER
ALLEGED INDULGENCE IN PRICE MANIPULATION IN SCRIP OF SOFTBPO GLOBAL SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
17-MAR-2009
|
|
| 393 |
|
|
SUNIL KUMAR KAYAN & CO.
(PAN:AGDPK5151F)
(Member : CSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES, DID NOT ADHERE TO STATUTORY REQUIREMENTS, DEFAULTED IN EXECUTION OF ORDERS AND IN ISSUANCE OF CONTRACT NOTES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5),B(1),B(2) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)^CO^28-MAY-2010
|
|
| 394 |
|
|
SUPER FINVEST SERVICES PVT.LTD.
(Member : LSE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF CLASSIC GLOBAL IMPEX LTD.(NOW KNOWN AS DEVINE IMPEX LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
03-FEB-2011
|
|
| 395 |
|
|
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
|
|
| 396 |
|
|
SVS SECURITIES PVT.LTD.
(PAN:AABCS5982K)
(Member : BSE/NSE/OTC)
|
|
|
|
RESHAD CHESSON
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE DEALING WITH HIS CLIENTS IN SCRIP OF MAZDA FABRICS PROCESSORS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-FEB-2007 TO 28-FEB-2007
02-FEB-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
10-NOV-2008~
|
SAT: SINCE APPLICANT FILED APPLICATION WITH SEBI TO PASS CONSENT ORDER TO DISPOSE OFF ORDER DATED 02/02/2007, ORDER ACCORDINGLY DISPOSED OFF WITH NO ORDER AS TO COSTS
SAT: ORDER DISPOSED OFF AS APPLICANT DEPOSITED RS.10,00,000 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 10/11/2008 WITH NO ORDER AS TO COSTS
|
| 397 |
|
|
SVS SECURITIES PVT.LTD.
(PAN:AABCS5982K)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE IN RESPECT OF TRANSACTIONS EXECUTED BY ITS SUB BROKER VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF HARITA SEATING SYSTEMS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-APR-2014 TO 16-APR-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-APR-2014 TO 16-APR-2015
27-MAR-2014
SETTLEMENT ( SETTLEMENT CHARGES RS.27,19,165, LEGAL EXPENSES RS.3,54,000 VIDE CONSENT ORDER)
02-JUL-2015~
|
SEBI ORDER DATED 27/03/2014 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.27,19,164.65.00 TOWARDS SETTLEMENT CHARGES AND RS.3,54,000.00 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER DATED 02/07/2015
|
| 398 |
|
|
SWASTIKA INVESTMART LTD.
(PAN:AABCS6585J)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 399 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
20-MAR-2009
|
|
| 400 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
(PAN:AAECS8827N)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GRAVITY INDIA LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, 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 GRAVITY INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
09-OCT-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 20 of 22
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