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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: PROHIBITED FROM REGISTERING NEW CLIENTS

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 ABHIPRA CAPITAL LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

SHORTFALL OF CLIENTS FUNDS AND SECURITIES  		DIRECTED TO SUBMIT REPLY TO SHOW CAUSE NOTICE FROM 27-JAN-2022

27-JAN-2022

DIRECTED TO RECOUP SHORTFALL OF CLIENTS FUNDS AND SUBMIT DOCUMENTARY EVIDENCE TO STOCK EXCHANGE FROM 27-JAN-2022

DIRECTED TO SETTLE CLIENTS FUNDS AND SUBMIT DOCUMENTARY EVIDENCE TO STOCK EXCHANGE FROM 27-JAN-2022

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 27-JAN-2022 		 
3
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 		 
4
History of entity/person CONCUNSMART SHARES & STOCK BROKER PVT.LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS  DIRECTED TO DISABLE TRADING TERMINALS FROM 17-APR-2022

17-APR-2022

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 17-APR-2022

DIRECTED TO EXTEND FULL COOPERATION TO EXTERNAL AUDITORS FOR COMPLETION OF FORENSIC AUDIT FROM 17-APR-2022 		 
5
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 		 
6
History of entity/person FNO INDIA SECURITIES PVT.LTD.  
  MAPPED SINGLE EMAIL ID AND MOBILE NUMBER TO MULTIPLE CLIENTS

MAPPED SINGLE PERMANENT ACCOUNT NUMBER TO MULTIPLE CLIENTS

MAPPED SINGLE BANK ACCOUNT NUMBER TO MULTIPLE CLIENTS

RECORDS OF ACTIVE CLIENTS RECORDED IN NOTICEE'S BACK OFFICE BUT NOT AVAILABLE WITH STOCK EXCHANGE

MISMATCH IN PAN DETAILS BETWEEN BACK-OFFICE RECORDS AND STOCK EXCHANGE RECORDS

MISMATCHED IN EMAIL ID DETAILS BETWEEN BACK-OFFICE RECORDS AND STOCK EXCHANGE RECORDS

MAPPED MULTIPLE CLIENTS WITH SAME DATE OF BIRTH

MAPPED MULTIPLE CLIENTS WITH COMMON ADDRESS AND BANK ACCOUNT

MAPPED MULTIPLE CLIENTS WITH SIMILAR NAMES, LOCATION, BANK ACCOUNT NUMBERS AND EMAIL IDS BUT DIFFERENT PERMANENT ACCOUNT NUMBER

PERMITTED CLIENTS BELOW EIGHTEEN YEARS TO TRADE IN DERIVATIVES SEGMENT

PERMITTED CLIENTS ABOVE NINETY YEARS TO TRADE IN DERIVATIVES SEGMENT  		PROHIBITED FROM REGISTERING NEW CLIENTS FROM 20-FEB-2023

20-FEB-2023

DIRECTED TO DO RE-KYC OF NON-COMPLIANT CLIENT ACCOUNTS AND PROVIDE COMPLIANCE CERTIFICATE CERTIFIED BY CHARTERED ACCOUNTANT FROM 20-FEB-2023 		 
7
History of entity/person G.S.V.SECURITIES PVT.LTD.  
  PROMISED ASSURED RETURN TO CLIENTS/INVESTORS

ENGAGED IN BUSINESS OTHER THAN OF SECURITIES  		CEASED AND DESIST FROM OFFERING OR PROVIDING ANY ASSURED RETURN SCHEME TO CLIENTS AND TO PROVIDE EVIDENCE TO THE EXCHANGE FROM 16-MAR-2022

16-MAR-2022

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 16-MAR-2022 		 
8
History of entity/person GROWTH SECURITIES PVT.LTD.  
  MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES

MADE INCORRECT REPORTING OF CLIENT LEVEL CASH AND CASH EQUIVALENT BALANCES  		IMPOSED PENALTY FROM 26-NOV-2024 TO 25-FEB-2025Rs.89,70,100

26-NOV-2024

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 26-NOV-2024 TO 25-FEB-2025 		 
9
History of entity/person KEDIA CAPITAL SERVICES PVT.LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

SUBMITTED INCORRECT DATA IN RESPECT OF WEEKLY MONITORING OF CLIENT FUNDS

DID NOT SETTLE CLIENTS FUNDS AND/OR SECURITIES

DELAY IN SETTLEMENT OF CLIENTFS FUNDS AND/OR SECURITIES

MADE INCORRECT RETENTION STATEMENT  		IMPOSED PENALTY FROM 03-MAR-2023 TO 02-SEP-2023Rs.13,32,000

03-MAR-2023

PROHIBITED FROM REGISTERING NEW CLIENTS FROM 03-MAR-2023 TO 02-SEP-2023 		 
10
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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