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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 : 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.

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

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person INDIABULLS SECURITIES LTD.

(PAN:AAACO0870B)

(Depository Participants : CDSL/NSDL,Member : NSE/BSE)  
  ACCEPTED DEPOSITORY PARTICIPANT-CLIENT AGREEMENT FORM WITHOUT DATE

ACCEPTED POWER OF ATTORNEY FROM CLIENTS WITHOUT DATE AND COMPLETE DETAILS

ACCEPTED CLIENT AGREEMENTS WITHOUT WITNESS

ACCEPTED BLANK UNCROSSED OR INCOMPLETE NOMINATION FORMS   		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

29-MAY-2009 		 
2
History of entity/person PRAVIN RATILAL SHARE & STOCK BROKERS LTD.

(Depository Participants : NSDL)  
  DID NOT EXERCISE DUE CARE AND DILIGENCE   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

14-MAY-2010 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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