| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
TRADEBULLS SECURITIES PVT.LTD.
(PAN:AADCT2020P)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
PLEDGED SECURITIES IN EXCESS OF CLIENTS OBLIGATION
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
|
IMPOSED PENALTY RS.4,00,000
05-MAR-2021
|
|
| 82 |
|
|
TRADESWIFT BROKING PVT.LTD.
(PAN:AAECA3760A)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
FUNDED CLIENTS HAVING DEBIT BALANCES BY PROVIDING FURTHER EXPOSURE
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
MADE INCORRECT REPORTING OF RISK-BASED SUPERVISION OF DATA TO STOCK EXCHANGES
ENGAGED IN BUSINESS OTHER THAN SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.7,00,000
30-NOV-2023
|
|
| 83 |
|
|
UNICON SECURITIES PVT.LTD.
(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)
(Depository Participants : CDSL)
|
|
|
DID NOT UPDATED FORMAT OF POWER OF ATTORNEY (POA) IN RESPECT OF EXISTING CLIENTS VIOLATING CLAUSE 11 OF CODE OF CONDUCT AS SPECIFIED UNDER THIRD SCHEDULE READ WITH REGULATION 20AA OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
IMPOSED PENALTY RS.15,00,000
29-NOV-2018
|
SEBI VIDE ITS NOTICE DATED 15/07/2022 DIRECTED TO PAY RS.21,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 16/08/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 84 |
|
|
UNICON SECURITIES PVT.LTD.
(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)
(Depository Participants : CDSL)
|
|
|
|
GAJENDRA NAGPAL
PAN:AADPN5511A
|
|
|
NEERAJ GROVER
PAN:AFDPG2918P
|
|
|
RAM MOHAN GUPTA
PAN:AGDPG7175M
|
|
|
SONIA NAGPAL
PAN:AAGPN2936G
|
|
DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.5,00,000
30-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 16/05/2025 DIRECTED TO PAY RS.26,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 85 |
|
|
VIVEK FINANCIAL FOCUS LTD.
(PAN:AAACV4309A)
(Depository Participants : NSDL)
|
|
|
FACILITATED DEMATERIALIZATION OF LOCKED-IN SHARES OF SHONKH TECHNOLOGIES INTERNATIONAL LTD. OWNED BY ADVANCE HOVERCRAFT & COMPOSITES INDIA LTD.
|
IMPOSED PENALTY RS.50,000
28-SEP-2011
|
|
| 86 |
|
|
VNS FINANCE & CAPITAL SERVICES LTD.
(PAN:AAACV6221B)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
MADE INCORRECT REPORTING OF RISK-BASED SUPERVISION OF DATA TO STOCK EXCHANGES
PROVIDED INCORRECT COLLATERAL DATA TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.11,00,000
15-DEC-2022
|
|
| 87 |
|
|
WAY2WEALTH BROKERS PVT.LTD.
(PAN:AAACW3290M)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/MCX/BGSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
IMPOSED PENALTY RS.3,00,000
25-AUG-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 5
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