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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 SUBMIT DETAILED REPORT ON INVESTORS’ GRIEVANCE REDRESSAL MECHANISM

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANGEL ONE LTD.  
  TRADING TERMINAL OPERATED AT LOCATIONS OTHER THAN REPORTED TO NSE

TRADING TERMINAL NOT OPERATED BY PERSON AS PER EXCHANGE RECORDS

OFFICE OF THE AUTHORISED PERSON NOT AVAILABLE AT REGISTERED ADDRESS

DID NOT DISPLAY AUTHORISED PERSON REGISTRATION CERTIFICATE

DID NOT MAINTAIN INVESTOR GRIEVANCE REGISTER/BOARD

DID NOT MAINTAIN CALL RECORDINGS OF CLIENTS

UNAPPROVED MARKETING MATERIAL AND WEBSITES FOUND AT AUTHORISED PERSON’S OFFICE  		IMPOSED PENALTY FROM 14-JUL-2023 TO 13-JAN-2024Rs.1,66,89,000

14-JUL-2023

PROHIBITED FROM ONBOARDING NEW AUTHORISED PERSONS FROM 14-JUL-2023 TO 13-JAN-2024

DIRECTED TO CONDUCT INSPECTION OF ALL AUTHORIZED PERSONS AND SUBMIT REPORT THEREOF TO STOCK EXCHANGES FROM 14-JUL-2023 TO 13-JAN-2024

DIRECTED TO SUBMIT DETAILED REPORT ON INVESTORS’ GRIEVANCE REDRESSAL MECHANISM FROM 14-JUL-2023 TO 13-JAN-2024 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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