If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors
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 : 03-JUL-2025

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.

COMPANIES: DELAYED/FAILED TO DELIVER/TRANSFER SECURITIES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ASHOKA REFINERIES LTD.  
Click here to view complete history of this specific entity/person ASHOK KUMAR AGRAWAL
Click here to view complete history of this specific entity/person HARISH VERMA
Click here to view complete history of this specific entity/person KAILASH CHANDRA AGRAWAL
Click here to view complete history of this specific entity/person SHABIR MENON
Click here to view complete history of this specific entity/person SUDHIR DIXIT
  		ALLEGED DELAY IN TRANSFER OF SHARES OF ASHOKA REFINERIES LTD.

ALLEGED INDULGENCE IN PRICE RIGGING IN SCRIP OF ASHOKA REFINERIES LTD.   		REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 22-JUL-2009 TO 21-JUL-2011

22-JUL-2009 		 
2
History of entity/person D.K.CONSULTANCY  
Click here to view complete history of this specific entity/person NEERAV BHAGAT
  		DELIVERED FAKE/FORGED SHARES

CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012

27-AUG-2007 		 
3
History of entity/person EDUEXEL INFOTAINMENT LTD.

(PAN:AADCT3496R)  
  DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME

DID NOT DEMATERIALISE SHARES IN TIME   		IMPOSED PENALTY RS.6,00,000

13-JUN-2017 		INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI

SEBI VIDE ITS NOTICE DATED 27/04/2023 DIRECTED TO PAY RS.10,27,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE  
4
History of entity/person FERRARI TEXTILES PVT.LTD.  
Click here to view complete history of this specific entity/person TOHID HAZI GAFFAR
  		DELIVERED FAKE/FORGED SHARES

CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012

27-AUG-2007 		 
5
History of entity/person GUJARAT DEHYD FOODS LTD.  
Click here to view complete history of this specific entity/person B.S.DHOLAKIA
Click here to view complete history of this specific entity/person H.S.MARU
Click here to view complete history of this specific entity/person K.I.BAKSHI
Click here to view complete history of this specific entity/person M.K.BAKSHI
Click here to view complete history of this specific entity/person R.T.ZALA
Click here to view complete history of this specific entity/person S.I.BAKSHI
Click here to view complete history of this specific entity/person T.N.ZALA
  		DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME

FAILED TO PAY DIVIDENDS TO SHAREHOLDERS

DID NOT REDRESS INVESTOR COMPLAINTS   		LAUNCHED CRIMINAL PROSECUTION

27-SEP-2001 		 
6
History of entity/person GUJARAT FUN N WATER PARK LTD.  
Click here to view complete history of this specific entity/person DIPTIBEN SHAH
Click here to view complete history of this specific entity/person GIRISH SHAH
Click here to view complete history of this specific entity/person HEMLATA P.BAROT
Click here to view complete history of this specific entity/person NIRMALSINH D.RANA
Click here to view complete history of this specific entity/person RAJENDRASINH D.ZALA
  		DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME

FAILED TO PAY DIVIDENDS TO SHAREHOLDERS

DID NOT REDRESS INVESTOR COMPLAINTS   		LAUNCHED CRIMINAL PROSECUTION

27-SEP-2001 		 
7
History of entity/person GUJARAT TEXSPIN LTD.

(CIN:L17110GJ1992PLC018186)  
Click here to view complete history of this specific entity/person JIVRAJBHAI M.PATEL
Click here to view complete history of this specific entity/person MUKUND KRISHNASWAMI RAO
Click here to view complete history of this specific entity/person TARIK HAJI GAFFAR
Click here to view complete history of this specific entity/person TAUFIK HAJI GAFFAR
  		DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION

COMMITTED IRREGULARITIES IN EFFECTING TRANSFERS

CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012

27-AUG-2007 		 
8
History of entity/person I360 STAFFING & TRAINING SOLUTIONS PVT.LTD.

(PAN:AAACI8851P)  
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES

EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES

DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS

DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS

DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS

DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES

DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS

DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026

15-MAR-2016 		SAT: SAT VIDE ITS ORDER DATED 26/04/2021 DISMISSED THE APPEAL  
9
History of entity/person KARISHMA FLORICULTURE LTD.

(CIN:U74899DL1994PLC057511)  
Click here to view complete history of this specific entity/person S.N.BANSAL
  		ADVANCED FUNDS FOR PURCHASE OF ITS OWN SHARES VIOLATING SECTION 77(2) OF COMPANIES ACT, 1956

DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME   		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

19-JUL-2011 		 
10
History of entity/person MANNA GLASS-TECH INDUSTRIES LTD.  
Click here to view complete history of this specific entity/person AMIDHAR MAJUMDAR
Click here to view complete history of this specific entity/person GIRISH D.SHAH
Click here to view complete history of this specific entity/person REENA A.MAJUMDAR
Click here to view complete history of this specific entity/person TUSHAR A.MAJUMDAR
  		DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME

DID NOT REDRESS INVESTOR COMPLAINTS   		LAUNCHED CRIMINAL PROSECUTION

03-APR-2001 		 
11
History of entity/person OJAS TECHNOCHEM PRODUCTS LTD.  
Click here to view complete history of this specific entity/person HANSA J.SHUKLA
Click here to view complete history of this specific entity/person NIRANJANA S.SHUKLA
Click here to view complete history of this specific entity/person SURESH KANTI SHUKLA
Click here to view complete history of this specific entity/person VINOD KANTI SHUKLA
  		DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME

DID NOT REDRESS INVESTOR COMPLAINTS   		LAUNCHED CRIMINAL PROSECUTION

03-APR-2001 		 
12
History of entity/person PRAKASH INDUSTRIES LTD.

(PAN:AABCP6765H)  
  DID NOT DEMATERIALISE SHARES IN TIME

DID NOT HANDLE AND MAINTAIN SHARE TRANSFER WORK AT SINGLE POINT AS REQUIRED UNDER REGULATION 53A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996   		IMPOSED PENALTY RS.4,00,000

27-SEP-2011 		 
13
History of entity/person SUNSTAR SOFTWARE SYSTEMS LTD.  
  DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME

DID NOT REDRESS INVESTOR COMPLAINTS   		LAUNCHED CRIMINAL PROSECUTION

03-APR-2001 		 
14
History of entity/person TRIDENT STEELS LTD.  
Click here to view complete history of this specific entity/person A.Y.DEGANI
Click here to view complete history of this specific entity/person AJAY RAMESHWAR AGARWAL
Click here to view complete history of this specific entity/person ASHOK RAMESHWAR AGARWAL
Click here to view complete history of this specific entity/person BHARAT N.VAISHNAWA
Click here to view complete history of this specific entity/person HEMANT HEMNANI
Click here to view complete history of this specific entity/person S.K.JAIN
  		HOLDINGS OF PROMOTERS HAD ALREADY BEEN PLEDGED TO A BANK FOR RAISING CREDIT LIMITS

DID NOT DISCLOSE IN PROSPECTUS PRINCIPAL TERMS OF LOAN AND ASSETS CHARGED AS SECURITY

MIS-STATEMENTS IN THE PROSPECTUS

DID NOT TRANSFER SHARES LODGED FOR TRANSFER   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2004 TO 30-MAR-2009

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2004 TO 30-MAR-2009

31-MAR-2004 		 
15
History of entity/person TRIDENT STEELS LTD.  
Click here to view complete history of this specific entity/person ANIL SHARMA
Click here to view complete history of this specific entity/person KULDEEP N.PARULEKAR
Click here to view complete history of this specific entity/person SURESH R.AGARWAL
Click here to view complete history of this specific entity/person VIJAY VISHNU SALI
  		HOLDINGS OF PROMOTERS HAD ALREADY BEEN PLEDGED TO A BANK FOR RAISING CREDIT LIMITS

DID NOT DISCLOSE IN PROSPECTUS PRINCIPAL TERMS OF LOAN AND ASSETS CHARGED AS SECURITY

MIS-STATEMENTS IN THE PROSPECTUS

DID NOT TRANSFER SHARES LODGED FOR TRANSFER   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-APR-2004 TO 20-APR-2009

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-APR-2004 TO 20-APR-2009

31-MAR-2004 		 
16
History of entity/person TRIPACE MARKETING SERVICES PVT.LTD.

(CIN:U22300DL2011PTC226596
PAN:AACET0039R)  
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES

EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES

DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS

DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS

DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS

DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES

DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS

DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026

15-MAR-2016 		 
17
History of entity/person UNICKON ASSET RECONSTRUCTION CO.PVT.LTD.

(CIN:U65999DL2009PTC191351
PAN:AABCU1082C)  
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES

EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES

DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS

DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS

DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS

DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES

DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS

DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026

15-MAR-2016 		 
18
History of entity/person UNICKON COMMODITIES PVT.LTD.

(CIN:U51101DL2005PTC143970
PAN:AAACU7909D)  
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES

EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES

DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS

DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS

DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS

DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES

DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS

DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026

15-MAR-2016 		 
19
History of entity/person UNICKON FINANCIAL CONSULTANTS PVT.LTD.

(PAN:AABCU5047P)  
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES

EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES

DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS

DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS

DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS

DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES

DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS

DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026

15-MAR-2016 		 
20
History of entity/person UNICKON FINANCIAL INTERMEDIARIES PVT.LTD.

(CIN:U74140DL2004PTC127708
PAN:AAACU6952E)  
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES

EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES

DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS

DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS

DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS

DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES

DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS

DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL

DID NOT MAKE PAYMENTS TO CLIENTS IN TIME

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026

15-MAR-2016 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
First Next Last  
Page 1 of 2  

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2025
No part of this site may be reproduced without the explicit permission of the owners.

top