| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AASMAA SECURITIES PVT.LTD.
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
MISUSED PLEDGING OF CLIENT’S SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
DELAY IN UPLOADING DIS SCAN
|
IMPOSED PENALTY RS.7,00,000
21-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER. CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT: SAT VIDE ITS ORDER DATED 20/07/2022 ALLOWED THE APPEAL INCLUDING NSEL ALSO AND QUASHED IMPUGNED ORDER DATED 09/06/2022. MATTER REMITTED TO WTM TO DECIDE AFRESH
|
| 2 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Depository Participants : CDSL,Member : BSE)
|
|
|
DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
DID NOT UPLOAD DETAILS OF CLIENT TO STOCK EXCHANGE UNDER FUNDS AND SECURITIES MODULE OF ENHANCED SUPERVISION
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
DID NOT UPLOAD SCANNED IMAGES OF KYC DOCUMENTS ON KRA
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
|
IMPOSED PENALTY RS.2,50,000
30-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 28/09/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/02/2022 ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 3 |
|
|
ACUMEN CAPITAL MARKET (INDIA) LTD.
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/MSEI)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DID NOT HAVE CALL RECORDING SYSTEM FOR PREVENTION OF UNAUTHORIZED TRADING
DID NOT CAPTURE INCOME DETAILS OF CLIENTS
DID NOT OBTAIN RUNNING ACCOUNTS AUTHORIZATION FORMS
DELAY IN UPLOAD CLIENTS DETAILS IN CKYC SYSTEM
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
DISCREPANCIES IN MAINTENANCE OF CLIENT RECORDS
DELAY IN UPLOADING DIS SCAN
DISCREPANCIES IN PROCESSING OF DIS, MODIFICATION, TRANSFERS & TRANSMISSIONS ACCOUNT CLOSURE
DID NOT DISPATCH TRANSACTION STATEMENT
|
IMPOSED PENALTY RS.5,00,000
10-DEC-2020
|
|
| 4 |
|
|
ADITYA BIRLA MONEY LTD.
(PAN:AAACA7472K)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE)
|
|
|
CARRIED OUT PORTFOLIO MANAGEMENT SERVICES (PMS) WITHOUT ENTERING INTO AGREEMENT WITH THE CLIENTS
MISLED CLIENTS BY UNDERSTATING LOSSES AND OVERSTATING PROFITS
LOSSES COVERED BY PREMIUM ON SALE OF OPTIONS AND SHOWN ONLY AT LATER STAGES
CHARGED DELAYED PAYMENT AND LATE PAY-IN CHARGES
DID NOT HAVE ADEQUATE SYSTEMS AND INTERNAL CONTROLS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DELAY IN UPLOAD CLIENTS DETAILS IN CKYC SYSTEM
TRANSFERRED SECURITIES WORTH RS.5,41,502.76 FROM CLIENT DEMAT TO PRO
ACCOUNT
DID NOT HAVE DEDICATED E-MAIL ID FOR REDRESSAL OF GRIEVANCES
DID NOT ENABLE SMS ALERT FACILITY FLAG IN DEPOSITORY PARTICIPANT MODULE
ACTIVATED POWER OF ATTORNEY WITHOUT OBTAINING MOBILE NUMBER FROM CLIENT
|
IMPOSED PENALTY RS.1,02,00,000
04-OCT-2021
|
SAT: SAT VIDE ITS ORDER DATED 06/12/2021 DISPOSED OF THE STAY APPLICATION AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. FURTHER, DIRECTED APPELLANT TO DEPOSIT RS.50 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. THE BALANCE AMOUNT SHALL NOT BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 23/12/2021 DISPOSED OFF THE MATTER AND DIRECTED AO TO CONSIDER THE OBJECTIONS RAISED BY APPELLANT AT THE TIME WHEN THE MATTER FINALLY DECIDED
|
| 5 |
|
|
ALLIED FINANCIAL SERVICES PVT.LTD.
(PAN:AAACA2020K)
(Depository Participants : NSDL)
|
|
|
|
AWANISH KUMAR MISHRA
PAN:AGOPM7538H
|
|
|
HIMANSHU ARORA
PAN:AUXPA3314Q
|
|
|
JITENDRA KUMAR TIWARI
PAN:ALBPT6629A
|
|
INDULGED IN FACILITATION ON PART OF AFSPL INCLUDING FRAUDULENT TRANSFER OF MF UNITS VIOLATING REGULATIONS 3(A), 4(1) AND 4(2)(P) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ALLIED FINANCIAL SERVICES PVT.LTD.
DID NOT MAINTAIN HIGH STANDARD OF INTEGRITY DURING OPENING DEMAT ACCOUNTS OF DCEL AND OCL
DID NOT HAVE MAKER-CHECKER SYSTEM AND INTERNAL CONTROLS IN PLACE
MADE CHANGES IN THE DETAILS OF OCL AND DCEL IN DPM SYSTEM WITHOUT HAVING ADEQUATE SUPPORTING DOCUMENTS/ REQUEST RECEIVED FROM AUTHORIZED SIGNATORIES TO THE ACCOUNT
EXECUTED DIS WITH INCORRECT ISIN FOR OCL AND DID NOT PROVIDE ACKNOWLEDGEMENT RECEIPTS FOR ISSUANCE OF DIS BOOKLETS TO DCEL AND INCORRECT SERIES MENTIONED ON ACKNOWLEDGEMENT RECEIPT
DID NOT PROVIDE REQUEST RECEIVED FROM NEPL FOR ISSUANCE OF NEW DIS BOOKLET VIDE TRANSFERS OF MF UNITS
ISSUED DIS TO NEPL NOT IMMEDIATELY ENTERED INTO THE DPM SYSTEM
DID NOT APPOINT COMPLIANCE OFFICER VIOLATING REGULATION 81(1) OF SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018
DID NOT PRODUCE BOOKS/DOCUMENTS/CORRESPONDENCE AS DEMANDED DURING FORENSIC AUDIT/ INVESTIGATION
DID NOT INFORM SEBI ABOUT PENALTY LEVIED ON IT BY NSDL
|
IMPOSED PENALTY RS.3,00,00,000
02-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 16/02/2022 CONDONED THE DELAY IN FILING OF APPEAL.ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 17/05/2022 DIRECTED TO PAY RS.3,33,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 6 |
|
|
ALLWIN SECURITIES LTD.
(Depository Participants : CDSL,Member : BSE)
|
|
|
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
|
IMPOSED PENALTY RS.5,00,000
24-OCT-2019
|
|
| 7 |
|
|
AMBALAL SHARES & STOCKS PVT.LTD.
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
IMPOSED PENALTY RS.5,00,000
27-APR-2020
|
|
| 8 |
|
|
AMBALAL SHARES & STOCKS PVT.LTD.
(Depository Participants : CDSL,Member : BSE/MSEI/MCX/ICEX)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MADE INCORRECT REPORTING OF DATA TO STOCK EXCHANGES
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DELAY IN SETTLING OF RUNNING ACCOUNTS OF CLIENTS
DELAY IN SETTLING ACCOUNTS OF INACTIVE CLIENTS
DELAY IN SETTLING OF CLIENT’S FUNDS AND/OR SECURITIES
MISMATCHED CLIENTS EMAIL IDS AND/OR MOBILE NUMBERS
DID NOT PROVIDE VOICE RECORDING FOR TRADES
|
IMPOSED PENALTY RS.8,00,000
26-SEP-2022
|
|
| 9 |
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
(PAN:AAECA3909P)
(Depository Participants : CDSL,Member : NSE/BSE/MCX/MSEI)
|
|
|
|
AMITA SINHA
PAN:AOIPS2038G
|
|
|
SANJEEV KUMAR SINHA
PAN:ALEPS6005L
|
|
|
VANDANA SINHA
PAN:ASUPS6193E
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED PLEDGING OF CLIENT’S SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
FALSIFIED TRIAL BALANCE, BANK BOOKS AND CONCEALED THE INFORMATION RELATED TO PLEDGING OF SECURITIES, CASH WITHDRAWAL AND FUND MOVEMENT RELATED TO ENTITIES VIOLATING SECTIONS 12(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (P) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.2,25,00,000
28-APR-2022
|
SEBI VIDE ITS NOTICE DATED 29/05/2024 DIRECTED TO PAY RS.2,83,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 10 |
|
|
AMRAPALI CAPITAL & FINANCE SERVICES LTD.
(Depository Participants : NSDL,Member : BSE/NSE/MCX)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
|
IMPOSED PENALTY RS.4,00,000
27-MAY-2021
|
|
| 11 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
(PAN:AABCA3577G)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DISCREPANCIES IN PROCESSING OF DELIVERY INSTRUCTION SLIP
DEFAULTED IN DELIVERY OF CONTRACT NOTES IN RESPECT OF BOUNCED ELECTRONIC CONTRACT NOTES
DID NOT HAVE ADEQUATE SYSTEM IN PLACE TO CHECK RECEIPT OF THIRD PARTY CHEQUES
|
IMPOSED PENALTY RS.5,00,000
30-NOV-2011
|
|
| 12 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
(PAN:AAACN3405F)
(Depository Participants : NSDL,Member : BSE/NSE)
|
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DEFICIENCIES IN CLIENT DATABASE
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
ILLEGALLY CHARGED CUSTODY CHARGES FROM CLIENTS
DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY
|
IMPOSED PENALTY RS.1,00,000
04-MAY-2009
|
|
| 13 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
(PAN:AAACN3405F)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/MCX/NCDEX)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN DAILY RECONCILIATION STATEMENT
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
MISMATCH IN LEDGER BALANCE IN DAILY MARGIN STATEMENT
DID NOT MAINTAIN ADEQUATE SYSTEMS FOR RECORDING OF ORDER PLACEMENT BY CLIENTS
DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION
EXECUTED UNAUTHORISED TRANSACTIONS IN CLIENTS’ ACCOUNTS
|
IMPOSED PENALTY RS.5,00,000
30-JAN-2025
|
SEBI VIDE ITS ORDER DATED 30/06/2025 DISPOSED OF SCN DATED 21/02/2025 WITHOUT ANY FURTHER ACTION/DIRECTIONS
|
| 14 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
(Depository Participants : CDSL,Member : BSE/NSE/MSEI)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
PLEDGED SECURITIES IN EXCESS OF CLIENTS OBLIGATION
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
|
IMPOSED PENALTY RS.90,00,000
09-MAR-2021
|
SEBI VIDE ITS NOTICE DATED 22/02/2024 DIRECTED TO PAY RS.1,22,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/04/2024 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
|
| 15 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
(Depository Participants : CDSL,Member : NSE/BSE/MSEI)
|
|
|
|
PARESH MULJI KARIYA
PAN:AAEPK0469M
|
|
|
SADHANA PARESH KARIYA
PAN:AJHPK6018N
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
PROMISED ASSURED RETURNS TO CLIENTS
DEFAULTED IN MAINTENANCE OF CLIENT LEDGER
INDULGED IN MANIPULATIVE, FRAUDULENT OR DECEPTIVE SCHEMES WHILE DEALING IN SECURITIES MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2030
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.4,00,00,000
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 24/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
|
| 16 |
|
|
ARIHANT CAPITAL MARKETS LTD.
(PAN:AABCA6832G)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE)
|
|
|
MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
|
IMPOSED PENALTY RS.6,00,000
17-JUL-2019
|
SAT: SAT VIDE ITS ORDER DATED 21/10/2021 DISMISSED THE APPEAL
|
| 17 |
|
|
ASIT C.MEHTA INVESTMENT INTERMEDIATES LTD.
(PAN:AAACA5009N)
(Member : BSE,Depository Participants : CDSL)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES
REPORTED WRONG NET WORTH TO EXCHANGE
ENGAGED IN BUSINESS OTHER THAN SECURITIES
MADE INCORRECT REPORTING OF DATA TO STOCK EXCHANGES
DID NOT REPORT FUND AND SECURITIES BALANCES
MADE INCORRECT REPORTING OF RISK-BASED SUPERVISION OF DATA TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.9,00,000
30-DEC-2022
|
SAT: SAT VIDE ITS ORDER DATED 11/04/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.9 LAC FROM RS.15 LAC
|
| 18 |
|
|
ASIT C.MEHTA INVESTMENT INTERMEDIATES LTD.
(PAN:AAACA5009N)
(Depository Participants : CDSL,Member : NSE/BSE/MSEI)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
MADE INCORRECT REPORTING OF DATA TO STOCK EXCHANGES
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT MAINTAIN DAILY RECONCILIATION STATEMENT
MADE INCORRECT RETENTION STATEMENT
TRADING TERMINAL NOT OPERATED BY PERSON AS PER EXCHANGE RECORDS
TRADING TERMINALS NOT FOUND AT THE INSPECTION LOCATION
|
IMPOSED PENALTY RS.27,00,000
19-JAN-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/05/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. MEANWHILE, IF THE APPELLANT DEPOSIT 50% OF PENALTY AMOUNT WITHIN THREE WEEKS FROM DATE OF THIS ORDER THE BALANCE AMOUNT SHALL NOT BE RECOVERED DURING THE PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/11/2021 DIRECTED TO FILE WRITTEN SUBMISSION WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 19 |
|
|
B.R.JALAN SECURITIES PVT.LTD.
(PAN:AAACB4606Q)
(Depository Participants : CDSL)
|
|
|
DID NOT SEND STATEMENT OF ACCOUNT REGULARLY TO BENEFICIARIES
DID NOT MAINTAIN FILE CONTAINING CORRESPONDENCE WITH REGISTRAR TO ISSUE AND SHARE TRANSFER AGENT
TRANSFERRED SECURITIES OF VARIOUS BENEFICIAL OWNERS TO OTHERS ACCOUNT WITHOUT ANY INSTRUCTION SLIP
DID NOT KEEPING RECORDS AS PER REGULATION 50 OF DP REGULATION
DID NOT MAINTAIN DEMAT REQUEST FORMS PROPERLY AND RECORDS OF BENEFICIAL OWNERS WHO HAD SURRENDERED SECURITIES
|
IMPOSED PENALTY RS.1,00,000
02-DEC-2010
|
|
| 20 |
|
|
B.R.JALAN SECURITIES PVT.LTD.
(PAN:AAACB4606Q)
(Depository Participants : CDSL,Member : BSE/MSEI)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
IMPOSED PENALTY RS.5,00,000
19-MAY-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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