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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.

SUB-BROKERS: INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person A.R.P.SHARES PVT.LTD.

(Sub-Broker of UPSE SECURITIES LTD., Member : BSE)  
  EXECUTED TRADES WHERE BROKER HIMSELF WAS BUYER AS WELL AS SELLER

DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS

INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES   		SUSPENDED REGISTRATION AS SUB-BROKER FROM 25-DEC-2006 TO 31-DEC-2006

04-DEC-2006 		 
2
History of entity/person MAGMA SECURITIES LTD.

(Sub-Broker of OTCEI SECURITIES LTD., Member : NSE)  
  INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

30-DEC-2005 		 
3
History of entity/person NELLIYAN STOCKS

(Sub-Broker of ISE SECURITIES & SERVICES LTD., Member : BSE/NSE)  
  INDULGED IN UNAUTHORISED FUND-BASED ACTIVITIES

PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS   		IMPOSED PENALTY RS.50,000

10-MAR-2011 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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