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

STOCK BROKERS: DIRECTED TO DO RE-KYC OF NON-COMPLIANT CLIENT ACCOUNTS AND PROVIDE COMPLIANCE CERTIFICATE CERTIFIED BY CHARTERED ACCOUNTANT

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person FNO INDIA SECURITIES PVT.LTD.  
  MAPPED SINGLE EMAIL ID AND MOBILE NUMBER TO MULTIPLE CLIENTS

MAPPED SINGLE PERMANENT ACCOUNT NUMBER TO MULTIPLE CLIENTS

MAPPED SINGLE BANK ACCOUNT NUMBER TO MULTIPLE CLIENTS

RECORDS OF ACTIVE CLIENTS RECORDED IN NOTICEE'S BACK OFFICE BUT NOT AVAILABLE WITH STOCK EXCHANGE

MISMATCH IN PAN DETAILS BETWEEN BACK-OFFICE RECORDS AND STOCK EXCHANGE RECORDS

MISMATCHED IN EMAIL ID DETAILS BETWEEN BACK-OFFICE RECORDS AND STOCK EXCHANGE RECORDS

MAPPED MULTIPLE CLIENTS WITH SAME DATE OF BIRTH

MAPPED MULTIPLE CLIENTS WITH COMMON ADDRESS AND BANK ACCOUNT

MAPPED MULTIPLE CLIENTS WITH SIMILAR NAMES, LOCATION, BANK ACCOUNT NUMBERS AND EMAIL IDS BUT DIFFERENT PERMANENT ACCOUNT NUMBER

PERMITTED CLIENTS BELOW EIGHTEEN YEARS TO TRADE IN DERIVATIVES SEGMENT

PERMITTED CLIENTS ABOVE NINETY YEARS TO TRADE IN DERIVATIVES SEGMENT  		PROHIBITED FROM REGISTERING NEW CLIENTS FROM 20-FEB-2023

20-FEB-2023

DIRECTED TO DO RE-KYC OF NON-COMPLIANT CLIENT ACCOUNTS AND PROVIDE COMPLIANCE CERTIFICATE CERTIFIED BY CHARTERED ACCOUNTANT FROM 20-FEB-2023 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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