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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 SUBMIT AUDITOR'S CERTIFICATE CONFIRMING REFUNDS

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person YES SECURITIES (INDIA) LTD.  
  DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY NSE

PASSED NEW PENALTY ON UPFRONT/PEAK MARGIN TO CLIENTS

FALSE REPORTING OF MARGIN FROM CLIENTS  		IMPOSED PENALTY FROM 26-MAY-2026 TO 25-AUG-2026Rs.2,00,000

26-MAY-2026

DIRECTED TO REFUND PENALTY PASSED ON TO ALL THE CLIENTS PERTAINING TO UPFRONT/PEAK MARGIN FROM 26-MAY-2026 TO 25-AUG-2026

DIRECTED TO SUBMIT AUDITOR'S CERTIFICATE CONFIRMING REFUNDS FROM 26-MAY-2026 TO 25-AUG-2026

PROHIBITED FROM ONBOARDING NEW CLIENTS FROM 26-MAY-2026 TO 25-AUG-2026 		MEMBER COMMITTEE OF NSE VIDE ITS ORDER DATED 01/07/2026 LIFTED THE PROHIBITION IMPOSED ON ONBOARDING NEW CLIENTS WITH EFFECT FROM THE DATE OF THIS ORDER  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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