| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AMIT BUSINESS LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
23-OCT-2009~
|
AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 23/10/2009
|
| 2 |
|
|
KASAM HOLDINGS PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
20-FEB-2009~
|
AD-INTERIM EX PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.10,00,000.00 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 20/02/2009
|
| 3 |
|
|
MANU VYAPAAR PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
23-OCT-2009~
|
AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 23/10/2009
|
| 4 |
|
|
RAJ CORP.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,50,000 VIDE CONSENT ORDER)
22-DEC-2008~
|
AD-INTERIM EX-PARTE ORDER DATED 18/06/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 22/12/2008
|
| 5 |
|
|
RAKHI TRADING PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
|
|
| 6 |
|
|
RAKHI TRADING PVT.LTD.
|
|
|
INDULGED IN SYNCHRONIZED/MATCHED/REVERSAL TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
IMPOSED PENALTY RS.1,08,00,000
26-MAR-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 26/03/2009 SET ASIDE WITH NO ORDER AS TO COSTS
SAT: SAT VIDE ITS ORDER DATED 13/01/2020 REJECTED CONDONATION OF DELAY IN FILING OF APPEAL AND DISMISSED THE APPEAL. NO COSTS
|
| 7 |
|
|
TLB SECURITIES PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/06/2007 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 8 |
|
|
TLB SECURITIES PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
IMPOSED PENALTY RS.10,00,000
16-MAR-2009
|
|
| 9 |
|
|
TUNGARLI TRADEPLACE PVT.LTD.
|
|
|
INDULGED IN NON-GENUINE, SYNCHRONIZED AND FICTITIOUS TRANSACTIONS IN F&O SEGMENT
|
CEASE AND DESIST FROM INDULGING IN FUTURES & OPTIONS CONTRACTS
18-JUN-2007
|
|
| 10 |
|
|
TUNGARLI TRADEPLACE PVT.LTD.
|
|
|
INDULGED IN SYNCHRONIZED/MATCHED/REVERSAL TRANSACTIONS IN F&O SEGMENT OF NATIONAL STOCK EXCHANGE
|
IMPOSED PENALTY RS.64,52,000
30-APR-2010
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 30/04/2010 SET ASIDE WITH NO ORDER AS TO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
