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: DIRECTED TO DISABLE TRADING TERMINALS

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ABHIPRA CAPITAL LTD.  
  DID NOT MAINTAIN REQUIRED NET WORTH

DID NOT MAINTAIN ADEQUATE CLIENT FUNDS

SUBMITTED INCORRECT DATA TO STOCK EXCHANGE

DID NOT SEGREGATE CLIENT FUNDS AND OWN FUNDS

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT MAINTAIN DAILY RECONCILIATION STATEMENT

DID NOT REPORT BANK ACCOUNTS TO STOCK EXCHANGE UNDER ENHANCED SUPERVISION OF STOCK BROKERS

DID NOT MAINTAIN CLIENT LEDGERS, REGISTER OF SECURITIES AND BANK BOOK IN PRESCRIBED FORMAT

ENGAGED IN BUSINESS OTHER THAN OF SECURITIES  		IMPOSED PENALTY FROM 25-SEP-2023 Rs.18,85,000

25-SEP-2023

DIRECTED TO RECOUP SHORTFALL IN NET WORTH FROM 25-SEP-2023

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 25-SEP-2023

DIRECTED TO DISABLE TRADING TERMINALS FROM 25-SEP-2023 		 
2
History of entity/person ABHIPRA CAPITAL LTD.  
  DID NOT MAINTAIN MINIMUM NETWORTH  DIRECTED TO DISABLE TRADING TERMINALS FROM 26-MAY-2023

26-MAY-2023 		 
3
History of entity/person ARTHA VRDDHI SECURITIES LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT RECONCILE SECURITIES

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS

DEFAULTED IN MAINTENANCE OF RECORD OF PLACEMENT OF ORDERS

DID NOT MAINTAIN PROPER AND/OR COMPLETE CLIENT REGISTRATION FORMS  		DIRECTED TO DISABLE TRADING TERMINALS

28-FEB-2022

DIRECTED TO RECOUP SHORTFALL IN NET WORTH 		 
4
History of entity/person CONCUNSMART SHARES & STOCK BROKER PVT.LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS  DIRECTED TO DISABLE TRADING TERMINALS FROM 17-APR-2022

17-APR-2022

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 17-APR-2022

DIRECTED TO EXTEND FULL COOPERATION TO EXTERNAL AUDITORS FOR COMPLETION OF FORENSIC AUDIT FROM 17-APR-2022 		 
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