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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 STOP ONBOARDING NEW CLIENTS AND AUTHORISED PERSON

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person LSC SECURITIES LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS

MISUTILISED CLIENTS FUNDS AND/OR SECURITIES  		DIRECTED TO STOP ONBOARDING NEW CLIENTS AND AUTHORISED PERSON FROM 21-JUN-2023 TO 20-SEP-2023

21-JUN-2023

DIRECTED TO CONDUCT CONCURRENT AUDIT AND SUBMIT A FORTNIGHTLY CERTIFICATETO CERTIFY CLIENTS ARE NOT BEING OFFERED ASSURED/FIXED RETURNS FROM 21-JUN-2023 TO 20-SEP-2023

DIRECTED TO SUBMIT DECLARATION FROM ALL ITS ACTIVE CLIENTS, UNDERTAKING THAT THE NOTICES DID NOT PROVIDE ANY ASSURED/FIXED RETURN SCHEMES TO CLIENTS DIRECTLY AND/OR THROUGH AUTHORISED PERSONS FROM 21-JUN-2023 TO 20-SEP-2023

DIRECTED TO ISSUE WEEKLY SMS’S AND EMAIL’S TO ALL REGISTERED CLIENTS, NOT OFFERING ASSURED/FIXED RETURN SCHEMES FROM 21-JUN-2023 TO 20-SEP-2023 		 
2
History of entity/person SPFL SECURITIES LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS

MISUTILISED CLIENTS FUNDS AND/OR SECURITIES  		IMPOSED PENALTY FROM 23-JUN-2023 TO 22-SEP-2023Rs.10,88,300

23-JUN-2023

DIRECTED TO STOP ONBOARDING NEW CLIENTS AND AUTHORISED PERSON FROM 23-JUN-2023 TO 22-SEP-2023

DIRECTED TO CONDUCT CONCURRENT AUDIT AND SUBMIT A FORTNIGHTLY CERTIFICATETO CERTIFY CLIENTS ARE NOT BEING OFFERED ASSURED/FIXED RETURNS FROM 23-JUN-2023 TO 22-SEP-2023

DIRECTED TO SUBMIT DECLARATION FROM ALL ITS ACTIVE CLIENTS, UNDERTAKING THAT THE NOTICES DID NOT PROVIDE ANY ASSURED/FIXED RETURN SCHEMES TO CLIENTS DIRECTLY AND/OR THROUGH AUTHORISED PERSONS FROM 23-JUN-2023 TO 22-SEP-2023

DIRECTED TO ISSUE WEEKLY SMS’S AND EMAIL’S TO ALL REGISTERED CLIENTS, NOT OFFERING ASSURED/FIXED RETURN SCHEMES FROM 23-JUN-2023 TO 22-SEP-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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