| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 681 |
|
SHYAMLAL SULTANIA,M/S
(Member : CSE)
|
|
|
|
SHYAMLAL SULTANIA
|
|
FAILED IN MAINTAINING INTEGRITY, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) AND B(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF TWENTY FIRST CENTURY (INDIA) LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/CROSS DEALS IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
|
IMPOSED PENALTY RS.5,00,000
11-AUG-2009
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/07/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 682 |
|
|
SHYAMLAL SULTANIA,M/S
(Member : CSE)
|
|
|
|
SHYAMLAL SULTANIA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF OASIS CINE COMMUNICATIONS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE 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) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF OASIS CINE COMMUNICATIONS LTD.
|
IMPOSED PENALTY RS.6,00,000
07-APR-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/07/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 683 |
|
|
SHYAMLAL SULTANIA,M/S
(Member : CSE)
|
|
|
|
SHYAMLAL SULTANIA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SANGOTRI CONSTRUCTIONS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SANGOTRI CONSTRUCTIONS LTD.
|
IMPOSED PENALTY RS.3,00,000
04-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/07/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 684 |
|
|
SIC STOCKS & SERVICES PVT.LTD.
(PAN:AAHCS8176P)
(Depository Participants : CDSL,Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS, SYNCHRONIZED TRANSACTIONS AND SELF-TRADES IN SCRIP OF VERTEX SPINNING 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 VERTEX SPINNING LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS DEPOSITORY PARTICIPANT FROM 21-SEP-2021 TO 20-DEC-2021
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 21-SEP-2021 TO 20-DEC-2021
21-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 02/09/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 21/09/2021
|
| 685 |
|
|
SIC STOCKS & SERVICES PVT.LTD.
(PAN:AAHCS8176P)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS, SYNCHRONIZED TRANSACTIONS AND SELF-TRADES IN SCRIP OF VERTEX SPINNING 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 VERTEX SPINNING LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 21-SEP-2021 TO 20-SEP-2021
21-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 02/09/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 21/09/2021
|
| 686 |
|
|
SIC STOCKS & SERVICES PVT.LTD.
(PAN:AAHCS8176P)
(Member : BSE/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 AND DELAY IN ISSUANCE OF CONTRACT NOTES VIOLATING REGULATION 7 READ WITH CLAUSES A AND B (2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF GANGOTRI TEXTILES LTD.
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 06-NOV-2019 TO 05-MAY-2020
28-APR-2017
|
SAT: SAT VIDE ITS ORDER DATED 07/11/2019 PARTLY ALLOWED THE APPEAL AND SET ASIDED SUSPENSION OF THE LICENSE FOR THREE MONTHS. FURTHER, DIRECTED APPELLANT TO NOT TO ACCEPT ANY FRESH CLIENTS FOR SIX MONTHS FROM DATE OF THIS ORDER. NO COSTS
|
| 687 |
|
|
SIKARIA SHARE & STOCK BROKING SERVICES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF STENLY CREDIT CAPITAL LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) IN MATTER OF STENLY CREDIT CAPITAL LTD.
|
IMPOSED PENALTY RS.2,50,000
01-JUN-2010
|
|
| 688 |
|
|
SIKARIA SHARE & STOCK BROKING SERVICES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SUDAMA TRADING & INVESTMENT LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SUDAMA TRADING & INVESTMENT LTD.
|
IMPOSED PENALTY RS.5,00,000
14-DEC-2009
|
|
| 689 |
|
|
SIKARIA SHARE & STOCK BROKING SERVICES PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SCINTILLA COMMERCIAL & CREDIT LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF SCINTILLA COMMERCIAL & CREDIT LTD.
|
IMPOSED PENALTY RS.2,50,000
04-AUG-2010
|
|
| 690 |
|
|
SILVER STREAM EQUITIES PVT.LTD.
(CIN:142575
PAN:AADCK5877H)
(Member : NSE)
|
|
|
CONNECTED TO SECONDARY SERVER WITHOUT ANY SUFFICIENT REASON DURING INVESTIGATION PERIOD VIOLATING NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH POINT 2(A) OF CHAPTER V OF NSE BYE-LAWS READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ACCESSING SECONDARY SERVER OF NSE COLOCATION IN LINE WITH INSTRUCTION OF NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES VIOLATING CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY
CONNECTED TO SECONDARY SERVER REPEATEDLY WITHOUT VALID REASON VIOLATING REGULATIONS 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF NSE CO-LOCATION FACILITY
|
IMPOSED PENALTY RS.6,00,000
16-FEB-2022
|
|
| 691 |
|
|
SINGHAL CAPITAL SERVICES LTD.
(Member : NSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRNSACTIONS IN SCRIP OF KAJARIA CERAMICS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE 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 KAJARIA CERAMICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
31-MAR-2010
|
|
| 692 |
|
|
SINO SECURITIES
(Member : DSE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, NOT EXERCISED DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES, NOT COMPLIED WITH STATUTORY REQUIREMENTS AND FILING FALSE OR MISLEADING RETURNS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) AND C(6) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KARISHMA FLORICULTURE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
26-OCT-2009
|
|
| 693 |
|
|
SISNE POLYMERS PVT.LTD.
(PAN:AAPCS4092L)
(Member : NCDEX)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(2) AND A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF CASTOR SEED CONTRACTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAR-2016 TILL FURTHER ORDERS
02-MAR-2016
|
SEBI VIDE ITS ORDER DATED 23/12/2016 RELAXED INTERIM ORDER PASSED 02/03/2016 AND 24/05/2016 TO THE LIMITED EXTENT TO ENABLE THEM TO PROTECT THEIR PORTFOLIO FROM MARKET VOLATILITY A) NOTICEE MAY SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN AN ORDERLY MANNER UNDER SUPERVISION OF THE STOCK EXCHANGE SO AS NOT TO DISTURB MARKET EQUILIBRIUM AND DEPOSIT SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) NOTICEES MAY TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER / DELISTING OFFER / BUYBACK OFFER UNDER THE RELEVANT REGULATIONS OF SEBI AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK C) NOTICEES SHALL AVAIL THE BENEFIT OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT DIVIDEND ETC. D) WINDOW FOR SALE OF SHARES LYING IN RESPECTIVE PORTFOLIO SHALL STAND WITHDRAWN IF ANY ENTITY FOUND TO EXECUTE ANY TRADE IN BREACH OF THE CONDITIONS
SEBI VIDE ITS ORDER DATED 08/03/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDERS DATED 02/03/2016 AND 24/05/2016
SEBI VIDE ITS ORDER DATED 14/11/2018 REVOKED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/03/2016 AND CONFIRMATORY ORDER DATED 08/03/2017
|
| 694 |
|
|
SKSE SECURITIES LTD.
(PAN:AAFCS1539J)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING CLAUSES A(2) OF CODE OF CONDUCT SPECIFIED UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ANUKARAN COMMERCIAL ENTERPRISES LTD.
|
IMPOSED PENALTY RS.1,00,000
10-MAR-2021
|
|
| 695 |
|
|
SKSE SECURITIES LTD.
(PAN:AAFCS1539J)
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DEAFULT IN ISSUANCE OF CONTRACT NOTE VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND B(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED FAILURE IN MAINTAINING UNIFORMITY IN DOCUMENTS REQUIRED FOR TRADING VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/DPS-1/CIR31/2004 DATED 26/08/2004
ALLEGED VIOLATION OF REGULATIONS 26(III),(V),(VII),(XII),(XIII) AND (XX) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
12-APR-2010
|
|
| 696 |
|
|
SKUNG TRADELINK LTD.
(PAN:AAOCS2485A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
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
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2016 TILL FURTHER ORDERS
17-FEB-2016
|
SAT: SAT VIDE ITS ORDER DATED 20/02/2016 QUASHED AND SET ASIDED IMPUGNED EX-PARTE AD-INTERIM ORDER DATED 17/02/2016. NO COSTS
SEBI VIDE ITS ORDER DATED 12/08/2016 DIRECTED TRADING MEMBERS TO CO-OPERATE WITH SEBI IN THE ON-GOING INVESTIGATION AND PROVIDE ALL THE INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
|
| 697 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : NSE/BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE IN CONDUCT OF BUSINESS VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.50,000
29-JUL-2011
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 29/07/2011 SET ASIDE WITH NO ORDER AS TO COSTS.
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 29/07/2011 SET ASIDE WITH NO ORDER AS TO COSTS.
|
| 698 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : BSE/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 GANGOTRI TEXTILES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
24-APR-2017
|
|
| 699 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : BSE/NSE/MCX/NCDEX)
|
|
|
LOCATED CTCL TERMINALS OTHER THAN THE LOCATION DECLARED BY NOTICEE TO STOCK EXCHANGE
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
21-AUG-2025
|
|
| 700 |
|
|
SMC GLOBAL SECURITIES LTD.
(PAN:AAACS0581R)
(Member : NSE)
|
|
|
CONNECTED SECONDARY SERVER REPEATEDLY WITHOUT MAKING COMPLAINT TO NSE AND DESPITE REPRIMAND FROM NSE VIOLATING REGULATION 9 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKER) REGULATIONS, 1992
|
IMPOSED PENALTY RS.5,00,000
25-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 13/02/2026 DISMISSED THE APPEAL. NO COSTS
|
| 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 35 of 40
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