| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Member : NSE/BSE/MSEI)
|
|
|
ENGAGED IN BUSINESS OTHER THAN SECURITIES
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 31-DEC-2024 TO 30-JAN-2025
31-DEC-2024
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2025 DISPOSED OF THE APPEAL BY UPHOLDING FINDINGS RECORDED IN THE IMPUGNED ORDER AND PERIOD OF PROHIBITION UNDERGONE TILL TODAY TO MEET END OF JUSTICE
|
| 2 |
|
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Member : BSE/NSE)
|
|
|
ALLOTTED MULTIPLE CLIENT CODES TO ONE CLIENT
COMMITTED IRREGULARITIES IN DEALING IN CASH WITH CLIENTS
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
PLEDGED SECURITIES WITHOUT KNOWLEDGE OF CLIENTS
DELAYED PAYMENT CHARGES WITHOUT KNOWLEDGE FROM CLIENTS
DID NOT SETTLE SECURITY DEPOSIT OF CLIENTS
DID NOT UPDATE RUNNING ACCOUNT AUTHORIZATION FORM
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 20-APR-2021 TO 19-JUL-2021
20-APR-2021
|
|
| 3 |
|
|
ALKA SECURITIES LTD.
(PAN:AAACA4835E)
(Member : NSE)
(Along with : MAYURESH REAL ESTATE MANAGEMENT PVT.LTD.)
|
|
|
|
ALKA M.PANDEY
PAN:AGEPP1076H
|
|
|
ANJUBEN KOTHARI
|
|
|
BRIJESH KOTHARI
PAN:AACPK8359C
|
|
|
DIMPLE PRASAD KOTHARI
|
|
|
MAHENDRA PANDEY
PAN:AACPP5315K
|
|
|
MAHESH NATVARLAL KOTHARI
PAN:AACPK2951Q
|
|
|
RAVI PANDEY
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-JUL-2009 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010
|
| 4 |
|
|
ASHIKA STOCK BROKING LTD.
(PAN:AACCA7156Q)
(Member : BSE/NSE/OTC)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2) NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 REVOKED DIRECTIONS TO THE EXTENT OF TAKING FRESH CLIENTS HOWEVER DIRECTION OF RESTRAIN SHALL CONTINUE
|
| 5 |
|
|
BRH WEALTH KREATORS LTD.
(CIN:100717
PAN:AACCB5141L)
(Member : NSE/BSE)
|
|
|
DID NOT COLLECT MARGINS FROM CLIENTS
DELAY IN PASSING ON CORPORATE BENIFITS TO CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 31-MAR-2020 TO 30-SEP-2020
31-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 15/02/2021 GRANTED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 07/04/2021. STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS OF THE TRIBUNAL
SAT: SAT VIDE ITS ORDER DATED 03/01/2022 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
|
| 6 |
|
|
CENTURY FINVEST PVT.LTD.
(PAN:AAACC3253A)
(Member : NSE)
|
|
|
ALLOWED UNREGISTERED ENTITIES/CLIENTS TO OPERATE TRADING TERMINAL
AIDED AND ABETTED BHADRA GUPTA SECURITIES PVT.LTD. TO CARRYOUT UNREGISTERED SUB-BROKER ACTIVITIES
DID NOT COLLECT MARGINS FROM CLIENTS
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 09-SEP-2019 TO 08-SEP-2020
15-SEP-2015
|
SAT: SAT VIDE ITS ORDER DATED 09/09/2019 PARTLY ALLOWED THE APPEAL BY MODIFYING ORDER OF ONE YEAR SUSPENSION TO ONE YEAR RESTRICTION FROM TAKING ANY FRESH CLIENTS FROM DATE OF THIS ORDER. NO COSTS
|
| 7 |
|
|
FINQUEST SECURITIES PVT.LTD.
(PAN:AABCB7028F)
(Member : NSE/BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ASIAN GRANITO INDIA LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 18-JAN-2022 TO 17-MAR-2022
18-JAN-2022
|
|
| 8 |
|
|
GANDHI COMMODITIES LLP
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 20-DEC-2023 TO 19-MAR-2024
20-DEC-2023
|
|
| 9 |
|
|
GLOBE COMMODITIES LTD.
(PAN:AAACM0267E)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 14-DEC-2023 TO 13-MAR-2024
14-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 19/12/2023 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 14/03/2024 ALLOWED EXTENSION OF FOUR MONTHS W.E.F.11/03/2024 FOR COMING OUT WITH A SCHEME UNDER SEBI (SETTLEMENT PROCEEDINGS) REGULATIONS, 2018 AS DIRECTED BY THIS TRIBUNAL VIDE ORDER DATED 12/12/2023
|
| 10 |
|
|
GOLDMINE COMMODITIES PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 14-DEC-2023 TO 13-MAR-2024
14-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 14/03/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 20/06/2024 STAYED THE IMPUGNED ORDER 14/12/2023
|
| 11 |
|
|
KOTAK COMMODITY SERVICES PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 22-DEC-2023 TO 05-JAN-2024
RESTRAINED FROM EXECUTING TRADES IN PROPRIETARY ACCOUNT
22-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 16/02/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
|
| 12 |
|
|
MAHESH KOTHARI SHARES & STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED BSE LTD.TO SUBMIT DETAILED REPORT IN MATTER OF ALKA SECURITIES LTD.
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010
|
| 13 |
|
|
MOTISONS COMMODITIES PVT.LTD.
(PAN:AADCM7184M)
(Member : MCX/NCDEX)
|
|
|
DID NOT DEDUCT ADVANCE OF RS.5.53 CRORE WHICH WAS OVERDUE FOR MORE THAN THREE MONTHS WHILE CALCULATING NET WORTH
ENGAGED IN BUSINESS OTHER THAN SECURITIES
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 14-MAY-2025 TO 28-MAY-2025
14-MAY-2025
|
|
| 14 |
|
|
OPG SECURITIES PVT.LTD.
(PAN:AAACO1081C)
(Member : NSE)
|
|
|
GAINED ADVANTAGE BY CONSISTENTLY LOGGED IN FIRST ACROSS POP SERVERS ON ACCOUNT OF BEING AWARE OF THE WEAKNESS OF THE TCP/IP TBT SYSTEM ARCHITECTURE
TRIED TO CROWD OUT OTHER TRADING MEMBERS FROM TCP/IP TBT SYSTEM PLATFORM
GAINED UNFAIR ACCESS AND ADVANTAGE BY CONSISTENTLY LOGGING INTO SECONDARY POP SERVER FOR LARGE NUMBER OF DAYS VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF OPG SECURITIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 30-APR-2019 TO 29-APR-2020
30-APR-2019
|
SEBI VIDE ITS ORDER DATED 03/05/2019 ALLOWED OPG SECURITIES PVT.LTD. AND ITS DIRECTORS TO CLOSE OPEN POSITIONS IN FUTURES AND OPTIONS AND CURRENCY DERIVATIVES SEGMENTS OF OPG SECURITIES PVT.LTD. ON OR BEFORE EXPIRY DATE OF RESPECTIVE CONTRACTS OR WITHIN TWO MONTHS FROM 30/04/2019 WHICHEVER IS EARLIER
SAT: SAT VIDE ITS ORDER DATED 20/05/2019 MODIFIED ITS ORDER DATED 06/05/2019 TO THE EXTENT THAT APPELLANTS MAY DEPOSIT RS.7.50 CRORES IN CASH OR IN THE FORM OF BANK GUARANTEE FROM NATIONALIZED BANK ON OR BEFORE 30/05/2019
|
| 15 |
|
|
P.C.S.COMMODITIES PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 20-MAR-2023 TO 19-MAR-2024
20-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 14/03/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 20/06/2024 STAYED THE IMPUGNED ORDER 20/03/2023
|
| 16 |
|
|
SANCHAY FINCOM LTD.
(PAN:AAACD6056C)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2) NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 HAS CONFIRMED INTERIM EX-PARTE DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010
|
| 17 |
|
|
SANCHAY FINVEST LTD.
(Member : NSE/OTC/MPSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED NOT TO UNDERTAKE ANY PROPRIETARY TRADES IN SECURITIES
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES IN OWN/PROPRIETARY ACCOUNT FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2)NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 HAS CONFIRMED INTERIM EX-PARTE DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010
|
| 18 |
|
|
SIC STOCKS & SERVICES PVT.LTD.
(PAN:AAHCS8176P)
(Depository Participants : CDSL,Member : NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS, SYNCHRONIZED TRANSACTIONS AND SELF-TRADES IN SCRIP OF VERTEX SPINNING LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF VERTEX SPINNING LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS DEPOSITORY PARTICIPANT FROM 21-SEP-2021 TO 20-DEC-2021
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 21-SEP-2021 TO 20-DEC-2021
21-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 02/09/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 21/09/2021
|
| 19 |
|
|
SIC STOCKS & SERVICES PVT.LTD.
(PAN:AAHCS8176P)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS, SYNCHRONIZED TRANSACTIONS AND SELF-TRADES IN SCRIP OF VERTEX SPINNING LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF VERTEX SPINNING LTD.
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 21-SEP-2021 TO 20-SEP-2021
21-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 02/09/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 21/09/2021
|
| 20 |
|
|
SKI CONSULTANCY SERVICES LTD.
(PAN:AAHCS7127G)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
DIRECTED NOT TO TAKE NEW CLIENTS AS STOCK BROKER FROM 14-DEC-2023 TO 13-MAR-2024
14-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 19/12/2023 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 14/03/2024 ALLOWED EXTENSION OF FOUR MONTHS W.E.F.11/03/2024 FOR COMING OUT WITH A SCHEME UNDER SEBI (SETTLEMENT PROCEEDINGS) REGULATIONS, 2018 AS DIRECTED BY THIS TRIBUNAL VIDE ORDER DATED 12/12/2023
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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