| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
SYKES & RAY EQUITIES (INDIA) LTD.
(PAN:AAECS5168A)
(Member : NSE)
|
|
|
DID NOT ISSUANCE OF CONTRACT NOTES IN TIME
DID NOT MENTION NAMES OF AUTHORISED REPRESENTATIVES ON CONTRACT NOTES
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
DEALT WITH UN-REGISTERED SUB-BROKERS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
|
| 122 |
|
|
TOSS FINANCIAL SERVICES PVT.LTD.
(PAN:AAACT1625K)
(Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ALEMBIC LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND FINANCED ITS CLIENT VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND C(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ALEMBIC LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
18-JUL-2011
|
|
| 123 |
|
|
TOWER CAPITAL & SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-DEC-2005
|
|
| 124 |
|
|
TROPICAL SECURITIES & INVESTMENTS PVT.LTD.
(PAN:AAACT1670N)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF PRUDENTIAL PHARMACEUTICALS 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) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-SEP-2013
|
|
| 125 |
|
|
TWENTY FIRST CENTURY SHARES & SECURITIES LTD.
(PAN:AAACT2542D)
(Member : NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-DEC-2005
|
|
| 126 |
|
|
VCK SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67110WB1989PLC046799
PAN:AAACV8988P)
(Member : NSE/CSE/ASE/OTC)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
CHARGED EXCESS BROKERAGE
DID NOT MAINTAIN CLIENT AGREEMENTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENTS' SECURITIES AND OWN SECURITIES
DID NOT MAINTAIN DATABASE AND RECORDS OF INVESTOR COMPLAINTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DEALT IN CASH WITH CLIENTS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
18-JUL-2011
|
|
| 127 |
|
|
VEEKRANT STOCKS & FINANCE PVT.LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRADES IN SCRIP OF SAWACA COMMUNICATIONS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-JAN-2006
|
|
| 128 |
|
|
VICTORY PORTFOLIO LTD.
(Member : NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
CONTRACT NOTES NOT SIGNED BY AUTHORISED REPRESENTATIVES
ALLOTTED SERIAL NUMBERS ON CONTRACT NOTES ON DAILY BASIS INSTEAD OF YEARLY BASIS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-JAN-2006
|
|
| 129 |
|
|
VINTAGE CAPITAL MARKETS LTD.
(Member : NSE)
|
|
|
DID NOT HAVE PRE-PRINTED SERIAL NUMBERS ON CONTRACT NOTES
DID NOT COLLECT MARGINS FROM CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
MISMATCH IN CLIENT'S NAMES BETWEEN RECORDING OF TRANSACTIONS AND DELIVERY OF SECURITIES
DID NOT USE CORRECT CLIENT CODE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-JAN-2006
|
|
| 130 |
|
|
WALLFORT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACW0750G)
(Member : BSE)
|
|
|
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) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DIVINE ENTERTAINMENT LTD. (EARLIER KNOWN AS DENIM ENTERPRISES LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
08-JAN-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 7
|
