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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 : 27-AUG-2026

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.

STOCK BROKERS: RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person FAIR INTERMEDIATE INVESTMENT PVT.LTD.

(PAN:AAACF7530K)

(Member : BSE)  
  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PFL INFOTECH LTD.   RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT FROM 28-NOV-2022 TO 27-DEC-2022

WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

28-NOV-2022 		SAT: SAT VIDE ITS ORDER DATED 07/06/2023 DISMISSED THE APPEAL. NO COSTS  
2
History of entity/person KOTAK COMMODITY SERVICES PVT.LTD.

(Member : NSEL)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 22-DEC-2023 TO 05-JAN-2024

RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT FROM 22-DEC-2023 TO 05-JAN-2024

22-DEC-2023 		SAT: SAT VIDE ITS ORDER DATED 16/02/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS

SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023  
3
History of entity/person MANSI SHARE & STOCK ADVISORS PVT.LTD.

(PAN:AADCM6645D)

(Member : BSE)  
  USED LARGE AND AGGRESSIVE BUY/SELL ORDERS IN THE UNDERLYING CONSTITUENTS OF SENSEX DURING CLOSING AUCTION SESSION (CAS) TO INFLUENCE INDICATIVE EQUILIBRIUM PRICE (IEP)/ CLOSING PRICE OF SENSEX TO ENRICH THEMSELVES WITH WRONGFUL GAINS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO3(D), 4(1), 4(2)(A), 4(2)(B),4(2)(D), 4(2)(E) AND 4(2)(G) OF SEBI (PFUTP) REGULATIONS, 2003   DIRECTED TO IMPOUND UNLAWFUL GAIN RS.71,64,773

DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS IN THEIR NAMES TO CREDIT OR DEPOSIT IMPOUNDING AMOUNT WITH A LIEN MARK IN FAVOUR OF SEBI AND AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

PROHIBITED FROM PARTICIPATING IN CALL AUCTION SESSION IN EQUITY SEGMENT, DIRECTLY OR INDIRECTLY, INCLUDING BY PLACING, MODIFYING OR CANCELLING ORDERS DURING CALL AUCTION SESSION FROM 19-AUG-2026 UNTIL FURTHER ORDERS

DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSES OF TRANSFER OF FUNDS TO FIXED DEPOSIT ACCOUNT(S)

DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO CO-OPERATE WITH SEBI IN INVESTIGATION BY FURNISHING ALL RELEVANT INFORMATION

RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT FROM 19-AUG-2026 UNTIL FURTHER ORDERS

19-AUG-2026 		 
4
History of entity/person STEEL CITY COMMODITIES PVT.LTD.

(PAN:AAHCS4125L)

(Member : NSEL)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 22-DEC-2023 TO 05-JAN-2024

RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT FROM 22-DEC-2023 TO 05-JAN-2024

22-DEC-2023 		SAT: SAT VIDE ITS ORDER DATED 05/01/2024 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 20/06/2024 STAYED THE IMPUGNED ORDER 22/12/2023

SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS

SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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