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Co-Sponsors
SOURCE OF INFORMATION

SOURCE OF INFORMATION : NSE CLEARING LTD.
PERIOD COVERED : 19-SEP-2013 TO 03-SEP-2026

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: IMPOSED PENALTY

S.No. ENTITY DIRECTORS/ PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person EDELWEISS CUSTODIAL SERVICES LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES   IMPOSED PENALTY RS.1,00,000

20-OCT-2020
2
History of entity/person GLOBE CAPITAL MARKET LTD.  
  DID NOT MAINTAIN ADEQUATE/APPROPRIATE RISK MANAGEMENT POLICY

DID NOT REPORT TRADING MEMBER-WISE AND CLIENT-WISE COLLATERAL DETAILS   		IMPOSED PENALTY RS.50,000

11-FEB-2022
3
History of entity/person SMC GLOBAL SECURITIES LTD.  
  REPORTED INCORRECT CLIENT MARGIN AS PROPRIETARY MARGIN

DID NOT RECEIVE APPROPRIATE FUNDS FOR PROPRIETARY TRADES

DISCREPANCIES IN ALLOCATION AND SEGREGATION REPORTING OF PROPRIETARY COLLATERAL

DID NOT COLLECT CRYSTALLIZED OBLIGATION IN CASH FOR PROPRIETARY TRADES   		IMPOSED PENALTY RS.27,00,000

DIRECTED TO CONDUCT MONTHLY CONCURRENT AUDIT OF ITS OPERATIONS WITH RESPECT TO ALLOCATION AND SEGREGATION

11-MAY-2026
4
History of entity/person YES BANK LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES   IMPOSED PENALTY RS.1,95,000

03-MAY-2021
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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