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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.

STOCK BROKERS: DID NOT FULFIL NET WORTH CRITERIA

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ARTHBODH SHARES & INVESTMENTS

(Member : PSE)  
  IRREGULAR IN SETTLING CLIENTS' ACCOUNTS

TRANSFERRED FUNDS BETWEEN DIFFERENT CLIENT ACCOUNTS

DID NOT FULFIL NET WORTH CRITERIA   		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

13-JAN-2006 		 
2
History of entity/person KRISHA INCAP SERVICES PVT.LTD.

(PAN:AAACK2230P)

(Member : NSE)  
Click here to view complete history of this specific entity/person RUPESH KUMAR

PAN:AMYPK4943N
Click here to view complete history of this specific entity/person SANJAY KUMAR MISHRA

PAN:APNPM0684G
  		MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DELAY IN SETTLING OF CLIENT’S FUNDS AND/OR SECURITIES

DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS

DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES

OPENED MULTIPLE UNIQUE CLIENT CODE (UCC) AGAINST SINGLE PAN

DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION

MISSTATED CLIENT LEDGER

DID NOT MAINTAIN REGISTER OF SECURITIES, HOLDING STATEMENTS, BANK BOOKS AND CLIENT LEDGERS

DID NOT DISPLAY CORRECT INFORMATION ON WEBSITE

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT HAVE VALID NCFM/NISM CERTIFICATE

DID NOT MAINTAIN RECORD OF CLIENT'S ORDER

DID NOT FULFIL NET WORTH CRITERIA   		IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS

31-MAY-2024 		SAT: SAT VIDE ITS ORDER DATED 20/08/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. REMAIN STAYED THE IMPUGNED ORDER SUBJECT TO DEPOSIT RS.5 LAC WITHIN SIX WEEKS FROM DATE OF THIS ORDER

SAT: SAT VIDE ITS ORDER DATED 17/10/2024 REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER  
3
History of entity/person KRISHA INCAP SERVICES PVT.LTD.

(PAN:AAACK2230P)

(Member : NSE)  
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS

DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES

DID NOT MAINTAIN REGISTER OF SECURITIES, HOLDING STATEMENTS, BANK BOOKS AND CLIENT LEDGERS

DID NOT DISPLAY CORRECT DETAILS OF ADDRESS AND COMPLIANCE OFFICER ON ITS WEBSITE

DID NOT MAINTAIN RECORD OF CLIENT'S ORDER

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

DID NOT HAVE NISM SERIES VII-SECURITIES OPERATIONS AND RISK MANAGEMENT CERTIFICATION

DID NOT FULFIL NET WORTH CRITERIA   		PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER FROM 02-DEC-2024 TO 01-FEB-2025

02-DEC-2024 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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