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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 ISSUE ADVERTISEMENT REGARDING CANCELLATION OF AFFILIATED SUB-BROKERS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person SI INVESTMENTS & BROKING PVT.LTD.

(Member : BSE)  
Click here to view complete history of this specific entity/person ANAND PADMANABHAN
Click here to view complete history of this specific entity/person SHRIDHAR P.IYER
  		DEFAULTED IN MAINTENANCE OF SAUDA BOOK

DID NOT MAINTAIN CLIENT AGREEMENTS

DEFICIENCIES IN CLIENT DATABASE

DID NOT MAINTAIN CLIENT REGISTRATION FORMS

COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES

DID NOT COLLECT MARGINS FROM CLIENTS

DID NOT MAINTAIN DESPATCH RECORDS

PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS

DID NOT ISSUE ADVERTISEMENT REGARDING CANCELLATION OF AFFILIATED SUB-BROKERS

DID NOT EXERCISE DUE SKILL AND DILIGENCE

DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI

DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING   		IMPOSED PENALTY RS.1,00,000

17-NOV-2004 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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