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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: WARNED & ADVISED TO COMPLY WITH APPLICABLE SECURITIES LAWS

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANGEL ONE LTD.  
  DEFAULTED IN MAINTENANCE OF RECORD OF PLACEMENT OF ORDERS

DID NOT CANCEL THE REGISTRATION OF AUTHORISED PERSON UPON RECEIVING THE COMPLAINT

DID NOT ALERT INVESTORS IN THE LOCATION WHERE THE AUTHORISED PERSON OPERATES

DID NOT FILE POLICE COMPLAINT  		WARNED & ADVISED TO COMPLY WITH APPLICABLE SECURITIES LAWS

29-JUN-2022 		 
2
History of entity/person ARIHANT CAPITAL MARKETS LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

DID NOT UPLOAD DAY-WISE CLIENT-LEVEL CASH AND CASH EQUIVALENT BALANCES AND BANK BALANCES OF ALL BANK ACCOUNTS WEEKLY TO STOCK EXCHANGE

DID NOT CREDIT CORRECTLY INTER-CORPORATE DEBT OF RS.3.75 CRORES TO AFCL’S LEDGER  		WARNED & ADVISED TO COMPLY WITH APPLICABLE SECURITIES LAWS

18-JUL-2022 		 
3
History of entity/person INDIANIVESH SHARES & SECURITIES PVT.LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

ENGAGED IN BUSINESS OTHER THAN OF SECURITIES  		IMPOSED PENALTY FROM 11-FEB-2022 TO 10-AUG-2022Rs.40,39,000

11-FEB-2022

SUSPENDED FROM TRADING FROM 11-FEB-2022 TO 10-AUG-2022

WARNED & ADVISED TO COMPLY WITH APPLICABLE SECURITIES LAWS FROM 11-FEB-2022 TO 10-AUG-2022 		SAT: SAT VIDE ITS ORDER DATED 07/03/2022 DISPOSED OFF THE STAY AND URGENCY APPLICATION. DIRECTED THAT THE SUSPENSION OF TRADING MEMBERSHIP OF THE APPELLANT TO REMAIN STAYED, PROVIDED APPELLANT DEPOSITS RS.50 LAC BEFORE THE RESPONDENT

SAT: SAT VIDE ITS ORDER DATED 06/05/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER  
4
History of entity/person MANALI TRADING & HOLDINGS PVT.LTD.  
  DID NOT ADHERE TO DIRECTIONS ISSUED BY MEMBER CORE SETTLEMENT GUARANTEE FUND COMMITTEE (MCSGFC)

DID NOT MAINTAIN CLIENT ORDER PLACEMENT EVIDENCE DURING INSPECTION

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT CLOSE DEMAT ACCOUNT TAGGED AS CLIENT COLLATERAL ACCOUNT

DELAY IN ISSUANCE OF DAILY MARGIN STATEMENTS TO CLIENTS

DID NOT CONDUCT IN-PERSON VERIFICATION (IPV) WHILE REGISTERING CLIENTS

MADE INCORRECT RETENTION STATEMENT

DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

SUBMITTED INCORRECT DATA TOWARDS CLIENT LEVEL HOLDING STATEMENT

INCORRECT REPORTING FOR WEEKLY MONITORING OF CLIENT FUNDS

DID NOT UPLOAD KYC DOCUMENTS TO KRA PROCESSES

DID NOT ISSUE INTIMATION OF TRANSFER OF FUNDS TO CLIENTS BY SMS DURING RUNNING ACCOUNT SETTLEMENT

DELAY IN WINDING UP OF CLIENT UNPAID SECURITIES ACCOUNT (CUSA)

ALLOCATED TRADING TERMINALS TO COMPLIANCE OFFICER FOR EXECUTION OF TRADES

DID NOT MAINTAIN PROPER AND/OR COMPLETE CLIENT REGISTRATION FORMS

DID NOT ENSURE PROPER DEMARCATION OF MANDATORY AND NON-MANDATORY FIELDS IN REGISTRATION DOCUMENT  		IMPOSED PENALTY Rs.1,00,980

24-FEB-2026

WARNED & ADVISED TO COMPLY WITH APPLICABLE SECURITIES LAWS 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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