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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 RECOUP SHORTFALL IN NET WORTH

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 CLIENTS 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 ARTHA VRDDHI SECURITIES LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

DID NOT SETTLE CLIENTS 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 		 
3
History of entity/person CENTURY FINVEST PVT.LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

DID NOT RECONCILE SECURITIES

DID NOT SETTLE CLIENTS FUNDS AND/OR SECURITIES

DID NOT MAINTAIN HOLDING OF BACK-OFFICE RECORDS

DID NOT MAINTAIN REGISTER OF SECURITIES AND BOOKS OF ACCOUNTS IN PRESCRIBED FORMAT

SUBMITTED INCORRECT DATA IN RESPECT OF WEEKLY MONITORING OF CLIENT FUNDS

MISREPRESENTED TRANSACTIONS IN CLIENTSF LEDGERS, AUDITED FINANCIAL STATEMENTS

DID NOT MAINTAIN MINIMUM NETWORTH  		IMPOSED PENALTY FROM 25-JAN-2023 TO 24-JUN-2023Rs.43,07,500

25-JAN-2023

SUSPENDED REGISTRATION AS STOCK BROKER FROM 25-JAN-2023 TO 24-JUN-2023

DIRECTED TO RECOUP SHORTFALL IN NET WORTH FROM 25-JAN-2023 TO 24-JUN-2023 		 
4
History of entity/person DEALMONEY SECURITIES PVT.LTD.  
  DID NOT MAINTAIN MINIMUM NETWORTH

DID NOT ADHERE TO MEMBERSHIP REQUIREMENT DIRECTIVES/INSTRUCTIONS/GUIDELINES

USED OF CLIENT BANK ACCOUNTS FOR PURPOSES OTHER THAN SPECIFIED

DID NOT SETTLE CLIENTS FUNDS AND/OR SECURITIES

DID NOT RECONCILE SECURITIES

DID NOT MAINTAIN DAILY RECONCILIATION STATEMENT

DID NOT MAINTAIN PROPER AND/OR COMPLETE CLIENT REGISTRATION FORMS  		PROHIBITED FROM REGISTERING NEW CLIENTS FROM 21-MAR-2022

21-MAR-2022

DIRECTED TO RECOUP SHORTFALL IN NET WORTH FROM 21-MAR-2022 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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