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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 DOCUMENTARY EVIDENCE TO SATISFACTION OF STOCK EXCHANGE IN SUPPORT OF CLAIMS THAT IT IS NOT PROVIDING ASSURED RETURNS TO CLIENTS

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CONCUNSMART SHARES & STOCK BROKER PVT.LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS

DID NOT SETTLE CLIENTS FUNDS AND/OR SECURITIES

DELAY IN SETTLEMENT OF CLIENTFS FUNDS AND/OR SECURITIES

DELAY IN ISSUANCE STATEMENT OF ACCOUNT AND RETENTION STATEMENTS TO CLIENTS

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

INCORRECT REPORTING FOR WEEKLY MONITORING OF CLIENT FUNDS   		DIRECTED TO SUBMIT REPLY TO SHOW CAUSE NOTICE FROM 14-MAR-2022

14-MAR-2022

DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE TO SATISFACTION OF STOCK EXCHANGE IN SUPPORT OF CLAIMS THAT IT IS NOT PROVIDING ASSURED RETURNS TO CLIENTS FROM 14-MAR-2022

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 14-MAR-2022 		 
2
History of entity/person PROFITMART SECURITIES PVT.LTD.  
  ENGAGED IN BUSINESS OTHER THAN OF SECURITIES

PROVIDED MARGIN TRADING FACILITY IN UNAPPROVED SECURITIES

DID NOT SETTLE CLIENTS FUNDS AND/OR SECURITIES

FUNDED CLIENTS HAVING DEBIT BALANCES BY PROVIDING FURTHER EXPOSURE

DID NOT FURNISH INSPECTION REPORTS OF AUTHORISED PERSONS AND RECORDS OF OPERATIONS CARRIED OUT BY APS TO STOCK EXCHANGE

DID NOT MONITOR ACTIVITIES OF AUTHORISED PERSONS  		DIRECTED TO SUBMIT REPLY TO SHOW CAUSE NOTICE FROM 12-JUL-2022

12-JUL-2022

DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE TO SATISFACTION OF STOCK EXCHANGE IN SUPPORT OF CLAIMS THAT IT IS NOT PROVIDING ASSURED RETURNS TO CLIENTS FROM 12-JUL-2022

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 12-JUL-2022

PROHIBITED FROM ONBOARDING NEW AUTHORISED PERSONS FROM 12-JUL-2022

DIRECTED TO APPOINT EXTERNAL AUDITOR TO CONDUCT FORENSIC AUDIT WITH RESPECT TO ASSURED RETURNS PROVIDED BY NOTICEE AND/OR ITS AUTHORISED PERSON FROM 12-JUL-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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