To
All Trading Members of the Exchange
sub: ORDER UNDER SECTIONS 11(4), 11B AND 11D OF THE SECURITIES AND EXCHANGE BOARD OF INDIA ACT, 1992 READ WITH REGULATION 35 OF SECURITIES AND EXCHANGE BOARD OF INDIA (INTERMEDIARIES) REGULATIONS, 2008 IN RE VIOLATION OF PROVISIONS OF STOCK BROKER REGULATIONS AND OTHER CIRCULARS. IN RESPECT OF FICUS SECURITIES PVT. LTD., FICUS COMMODITIES PVT. LTD. & ORS.
Attention of the trading members is invited to the Exchange Notice No. 20180320-39 dated March 20, 2018 where in SEBI vide its Order no. WTM/MPB/NRO/ 154 /2018 dated March 20, 2018 had inter-alia restrained Ficus Securities Pvt. Ltd. and various entities from accessing the securities market and further prohibited them from buying, selling or otherwise dealing in securities in any manner whatsoever, either directly or indirectly till further directions.
SEBI, now vide its Order no. WTM/MPB/NRO/ 06 /2019 dated January 17, 2019 has hereby confirmed the directions contained in the Ad–Interim Ex–Parte Order dated March 20, 2018, against following below mentioned entities:
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S.NO
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NAME OF NOTICEES
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PANS
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1
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FICUS SECURITIES PVT. LTD
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AAACV0429K
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2
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FICUS COMMODITIES PVT. LTD.
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AABCV4377P
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3
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MR. VINOD KUMAR BANSAL
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AAGPB8255Q
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4
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MR. SURENDER SINGH
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EFTPS4215D
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5
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MS. NEENA BANSAL
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AIDPB7112P
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6
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MS. POONAM RAJBHAR
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AGQPR0343D
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7
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MS. TRIPTA KAPOOR
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ASVPK5946Q
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8
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MS. SHABNAM JOHN
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AGUPJ1830F
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Further as stated in aforesaid order that Prashant Kumar Nayak (PAN: AFTPN9303D) the directions issued vide the interim order shall cease to continue from the date of this order.
This Order shall come into force with immediate effect.
A copy of the said Order is attached herewith and also available on the SEBI website www.sebi.gov.in.
Trading members are advised to take note of the same and ensure compliance.
Shaila Valsan Avijit Sarkar
Manager Assistant Manager
Surveillance Surveillance
Date: January 17, 2019
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