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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.

PERSONS: DID NOT SUBMIT AUDIT REPORT/FINANCIAL STATEMENTS TO THE EXCHANGE IN TIME

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person PAWAN KUMAR DARUKA  
  DEFAULTED IN MAINTENANCE OF VARIOUS RECORDS

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT COLLECT MARGINS FROM CLIENTS

FAILED TO SUBMIT AUDIT REPORT TO THE EXCHANGE ON DUE DATE   		IMPOSED PENALTY RS.2,50,000

25-OCT-2004 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.1,00,000 FROM RS.2,50,000  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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