| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
5PAISA CAPITAL LTD.
(PAN:AABCI7142M)
(Member : NSE/BSE)
|
|
|
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
MADE INCORRECT REPORTING OF RISK-BASED SUPERVISION OF DATA TO STOCK EXCHANGES
MADE INCORRECT REPORTING OF TRADING TERMINAL LOCATION TO STOCK EXCHANGES
MADE INCORRECT REPORTING OF LOCATION OF AUTHORISED PERSONS
COLLECTED INADEQUATE MARGIN UNDER MARGIN TRADING FACILITY FROM CLIENTS
DID NOT ADHERE TO CYBER SECURITY REQUIREMENTS
DID NOT REPORT TECHNICAL GLITCHES TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.8,00,000
31-OCT-2024
|
|
| 2 |
|
|
5PAISA CAPITAL LTD.
(PAN:AABCI7142M)
(Member : MCX)
|
|
|
UPLOADED WRONG/MISMATCHED UNIQUE CLIENT CODE (UCC) DATA IN MCX PLATFORM INCLUDING SIKKIM BASED CLIENTS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT SPECIFIED IN SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
30-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 13/11/2024 GRANTED APPELLANT A WEEK TO FILE REJOINDER
|
| 3 |
|
|
A.C.AGARWAL SHARE BROKERS PVT.LTD.
(Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
|
IMPOSED PENALTY RS.5,00,000
12-JUL-2019
|
|
| 4 |
|
|
A.C.CHOKSI SHARE BROKERS PVT.LTD.
(PAN:AABCA3464E)
(Member : BSE/NSE/MCX)
|
|
|
DELAY IN UPDATING ITS ANTI MONEY LAUNDERING (AML)/COMBATING FINANCING OF TERRORISM (CFT) POLICY VIOLATING SEBI CIRCULAR CIR/MIRSD/2/2013 DATED 24/01/2013 AND VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
DID NOT SETTLE RUNNING ACCOUNT OF ITS CLIENTS VIOLATING OF SEBI CIRCULARS NO.MIRSD/SE/CIR-19/2009 DATED 03/12/2009, MIRSD/SE/CIR-5/2010 DATED 31/03/2010, NSE CIRCULAR NSE/INSP/14048 DATED 03/02/2010, NSE/INSP/21651 DATED 07/09/2012, NSE/INSP/24849 DATED 29/10/2013 AND VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND (5) OF CODE OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
|
IMPOSED PENALTY RS.11,00,000
02-MAY-2018
|
|
| 5 |
|
|
A.G.SHARES & SECURITIES LTD.
(PAN:AAACA7646M)
(Member : NSE)
|
|
|
INDULGED IN UNAUTHORISED TRADES VIOLATING REGULATION 9 READ WITH CLAUSES A(1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF PIPAPAV DEFENCE & OFFSHORE ENGINEERING LTD., PARSVNATH DEVELOPERS LTD., TULIP TELECOM LTD. AND GLODYNE TECHNOSERVE LTD.
INDULGED IN UNAUTHORISED TRADES VIOLATING REGULATIONS 4(1) AND 4(2)(M) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PIPAPAV DEFENCE & OFFSHORE ENGINEERING LTD., PARSVNATH DEVELOPERS LTD., TULIP TELECOM LTD. AND GLODYNE TECHNOSERVE LTD.
|
IMPOSED PENALTY RS.3,00,000
29-DEC-2020
|
|
| 6 |
|
|
A.NITIN CAPITAL SERVICES LTD.
(Member : DSE)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.50,000
11-MAR-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 21/11/2017 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
|
| 7 |
|
|
AADINATH SECURITIES PVT.LTD.
(PAN:AAFCA3411P)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO THE STATUTORY REQUIREMENTS VIOLATING REGULATION 9(F) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
28-AUG-2018
|
|
| 8 |
|
|
AADYA COMMODITIES PVT.LTD.
(PAN:AAHCA2094C)
(Member : MCX)
|
|
|
|
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.1,25,00,000
28-APR-2022
|
|
| 9 |
|
|
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
|
| 10 |
|
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
DISCREPANCIES IN STOCK RECONCILIATION
WRONG REPORTING AND SHORT COLLECTION OF MARGIN
REPORTED WRONG NET WORTH TO EXCHANGE
MADE INCORRECT REPORTING OF CASH AND CASH EQUIVALENT BALANCE
DID NOT HAVE CYBER SECURITY AND CYBER RESILIENCE
|
IMPOSED PENALTY RS.8,00,000
28-MAR-2025
|
SAT: SAT VIDE ITS ORDER DATED 11/06/2025 CONDONED THE DELAY OF 4 DAYS IN FILING OF APPEAL. GRANTED SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED RECOVERY PROCEEDINGS SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 11 |
|
|
ACHINTYA COMMODITIES PVT.LTD.
(PAN:AAJCA1602L)
(Member : MCX/NCDEX)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
IMPOSED PENALTY RS.1,00,000
13-DEC-2019
|
|
| 12 |
|
|
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
|
| 13 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.3,00,000
10-AUG-2011
|
|
| 14 |
|
|
ACML CAPITAL MARKETS LTD.
(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)
(Member : BSE/CSE/MCX)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.3,00,000
10-AUG-2011
|
|
| 15 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF NETVISION WEB TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.75,000
29-JUL-2011
|
|
| 16 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF MALVICA ENGINEERING LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH 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 MALVICA ENGINEERING LTD.
|
IMPOSED PENALTY RS.50,000
23-SEP-2009
SETTLEMENT ( SETTLEMENT CHARGES RS.1,35,000, LEGAL EXPENSES RS.30,000 VIDE CONSENT ORDER)
26-APR-2010~
|
SAT: IMPUGNED ORDER DATED 23/09/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1,35,000 TOWARDS SETTLEMENT CHARGES AND RS.30,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER
|
| 17 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BGSE/BSE/OTC/NSE)
|
|
|
VIOLATED CLAUSE A (2) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 UNDER REGULATION 7 OF STOCK BROKER REGULATIONS WHILE DEALING IN SCRIP OF SHUKUN CONSTRUCTION LTD.
|
IMPOSED PENALTY RS.3,00,000
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
23-APR-2009
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SEBI VIDE ITS ORDER DATED 20/08/2014 WARNED THE NOTICEE TO BE CAREFUL AND CAUTIOUS IN THE CONDUCT OF BUSINESS AND TO ADHERE TO AND COMPLY WITH ALL STATUTORY PROVISIONS WHILE CARRYING OUT ITS ACTIVITIES IN SECURITIES MARKET
|
| 18 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS IN SCRIP OF BETALA GLOBAL SECURITIES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF BETALA GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.21,00,000
16-MAY-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN
|
| 19 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
(Member : BSE)
|
|
|
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 G-TECH INFO TRAINING LTD.
|
IMPOSED PENALTY RS.50,000
24-MAY-2012
|
|
| 20 |
|
|
ACTIVE FINSTOCK PVT.LTD.
(Member : BSE)
|
|
|
USED WRONG INCOME TAX PERMANENT ACCOUNT NO. (PAN) FOR LARGE NUMBER OF CLIENTS AND USED SAME PAN FOR MULTIPLE CLIENTS
ALLOWED CLIENTS TO TRADE AND PAID MONEY DESPITE HUGE DEBIT BALANCES FOR LONG PERIOD IN THEIR ACCOUNTS
DID NOT MAKE DISCLOSURE OF BULK DEALS TO STOCK EXCHANGES IN STIPULATED PERIOD
|
IMPOSED PENALTY RS.2,50,000
11-OCT-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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| Page 1 of 46
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