Financial Daily from THE HINDU group of publications
Saturday, Mar 08, 2003
Financial Daily from THE HINDU group of publications Saturday, Mar 08, 2003 |
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Markets
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Regulatory Bodies & Rulings SEBI suspends DSE member Our Bureau
MUMBAI: SEBI has suspended the certificate of registration of A. Jain & Co Pvt Ltd, a member of the Delhi Stock Exchange, for a period of six months. According to a SEBI press release, the penalty was imposed for irregularities in maintenance of contract notes, non-segregation of clients' accounts from his own account, undertaking transactions on the BSE, the NSE and the CSE without being registered as a sub-broker, failure to report off-the-floor transactions to the DSE and failure to maintain proper stock register. With the suspension of registration, Jain & Co will not be entitled to carry on business as a stock broker from March 13 to September 12 2003.
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