If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors

SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 13-JUL-2026

STOCK BROKERS: DESISTED AUTHORSED PERSONS FROM INDULGING IN ANY MONEY/SECURITIES DEALINGS WITH CLIENTS AND DIRECTED TO SUBMIT DECLARATION THAT NO CLIENT FUNDS ARE LYING WITH AP AS ON DATE

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person S.P.JAIN SECURITIES PVT.LTD.  
  DID NOT ENSURE THAT AUTHORISED PERSONS ENGAGED ONLY IN PERMITTED ACTIVITIES AND DID NOT UNDERTAKE BUSINESS ACTIVITIES DISALLOWED

UNPERMITTED TRANSFER OF FUNDS FROM OWN BANK ACCOUNT TO UPSTREAM BANK ACCOUNT (USCNBA) AND DOWNSTREAM BANK ACCOUNT (DSCNBA)

DID NOT UNDERTAKE INSPECTION OF REGISTERED AUTHORISED PERSONS

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

MADE PAY-OUT OF FUNDS TO CLIENTS IN EXCESS OF AVAILABLE BALANCES

MADE INCORRECT RETENTION STATEMENT

DID NOT DISPLAY NOTICE BOARD AND SEBI REGISTRATION CERTIFICATE AT INSPECTION LOCATION

DELAY IN INTIMATING STOCK EXCHANGE REGARDING CLOSURE OF DEMAT ACCOUNTS

ALLOWED TRADING IN CLIENT CODES WHOSE KYC RECORDS WERE NOT VALIDATED BY KRA

INCORRECT REPORTING ON CLIENT-LEVEL SEGREGATION AND MONITORING OF COLLATERAL

DID NOT ISSUE SMS AND EMAIL INTIMATIONS TO CLIENTS REGARDING TRANSFER OF FUNDS DURING RUNNING ACCOUNT SETTLEMENT

SUBMITTED INCORRECT DATA IN RESPECT OF WEEKLY MONITORING OF CLIENT FUNDS

DELAY IN UPSTREAMING OF CLIENTS' CLEAR CREDIT BALANCES TO CLEARING CORPORATION  		DESISTED AUTHORSED PERSONS FROM INDULGING IN ANY MONEY/SECURITIES DEALINGS WITH CLIENTS AND DIRECTED TO SUBMIT DECLARATION THAT NO CLIENT FUNDS ARE LYING WITH AP AS ON DATE FROM 25-FEB-2026 TO 24-MAY-2026Rs.91,673

25-FEB-2026

PROHIBITED AUTHORISED PERSONS FROM BUSINESS FROM 25-FEB-2026 TO 24-MAY-2026

IMPOSED PENALTY FROM 25-FEB-2026 TO 24-MAY-2026 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2026
No part of this site may be reproduced without the explicit permission of the owners.

top