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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: VIOLATED SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CPR CAPITAL SERVICES LTD.

(PAN:AAACC3235A)

(Member : BSE/NSE/MSEI)  
  DID NOT ADHERE TO ‘KNOW YOUR CLIENT’ (KYC), CLIENT DUE DILIGENCE (CDD), ANTI-MONEY LAUNDERING (AML)/PREVENTION OF MONEY LAUNDERING ACT, 2002 (PMLA) AND COMBATING FINANCING OF TERRORISM (CFT)

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT FOLLOW NORMS FOR NOMENCLATURE OF ACCOUNTS

MISUSED PLEDGING OF CLIENT’S SECURITIES

DID NOT FURNISH REQUISITE INFORMATION TO SEBI

DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER

DID NOT REDRESS INVESTOR COMPLAINTS   		CANCELLED REGISTRATION AS STOCK BROKER FROM 20-SEP-2023

20-SEP-2023 		 
2
History of entity/person FRR SHARES & SECURITIES LTD.

(PAN:AABCF5477E)

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

MIS UTILIZED CLIENTS FUNDS FOR PROPRIETARY TRADING

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT MAINTAIN SEPARATE BANK ACCOUNT FOR KEEPING FUNDS OF INACTIVE CLIENTS

DID NOT SENT SMS TO CLIENTS ON SETTLEMENT

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

DISCREPANCIES IN STOCK RECONCILIATION

DID NOT OBTAIN REGISTRATION FROM KYC REGISTRATION AGENCY (KRA) AND CENTRAL KNOW YOUR CUSTOMER (CKYC)

DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS

DISCREPANCIES IN CALCULATION OF NET WORTH

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

DID NOT REPORT BANK ACCOUNT/DEMAT ACCOUNT

DID NOT UNDERTAKE TAGGING OF DP ACCOUNTS

TRANSFERRED SECURITIES OF CREDIT BALANCE CLIENTS TO CLIENT’S UNPAID SECURITIES ACCOUNT

ENGAGED IN BUSINESS OTHER THAN SECURITIES

PASSED PENALTY TO CLIENTS ON SHORT/NON-COLLECTION AND/OR REPORTING OF UPFRONT MARGINS

DID NOT HAVE CYBER SECURITY AND CYBER RESILIENCE

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME   		RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS FROM 29-OCT-2024 TO 28-NOV-2024

29-OCT-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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