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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: VIOLATED SEBI TAKEOVER CODE, 1997

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

(PAN:AABCH8005N)

(Member : BSE,Depository Participants : CDSL)  
  INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.

PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED

31-DEC-2002 		 
2
History of entity/person INDSEC SECURITIES & FINANCE LTD.

(Depository Participants : CDSL/NSDL,Member : BSE/NSE/ICSE)  
  INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.

PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED

31-DEC-2002 		ORDER DATED 31/12/2002 FOUND SUPRA HENCE PENALTY REDUCED TO WARNING - “WARNED TO BE MORE CAREFUL IN FUTURE WHILE UNDERTAKING TRANSACTIONS IN SECURITIES ON BEHALF OF THEIR CLIENTS” SINCE APPLICANT VIOLATED ONLY SEBI CODE OF CONDUCT FOR STOCK BROKERS

SAT: IMPUGNED ORDER DATED 10/09/2004 FOUND UNSUSTAINABLE HENCE SET ASIDE. APPEAL ALLOWED. NO ORDER AS TO COSTS  
3
History of entity/person SUNIDHI CONSULTANCY SERVICES LTD.

(Depository Participants : CDSL,Member : BSE/NSE)  
  INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.

INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.

PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997   		DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED

31-DEC-2002 		INTERIM ORDER DATED 31/12/2002 REVOKED BY SEBI  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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