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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: DID NOT ADHERE TO SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person S.P.JAIN SECURITIES PVT.LTD.  
  DID NOT ENSURE THAT AUTHORISED PERSONS ENGAGED ONLY IN PERMITTED ACTIVITIES AND DID NOT UNDERTAKE BUSINESS ACTIVITIES DISALLOWED

UNPERMITTED TRANSFER OF FUNDS FROM OWN BANK ACCOUNT TO UPSTREAM BANK ACCOUNT (USCNBA) AND DOWNSTREAM BANK ACCOUNT (DSCNBA)

DID NOT UNDERTAKE INSPECTION OF REGISTERED AUTHORISED PERSONS

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

MADE PAY-OUT OF FUNDS TO CLIENTS IN EXCESS OF AVAILABLE BALANCES

MADE INCORRECT RETENTION STATEMENT

DID NOT DISPLAY NOTICE BOARD AND SEBI REGISTRATION CERTIFICATE AT INSPECTION LOCATION

DELAY IN INTIMATING STOCK EXCHANGE REGARDING CLOSURE OF DEMAT ACCOUNTS

ALLOWED TRADING IN CLIENT CODES WHOSE KYC RECORDS WERE NOT VALIDATED BY KRA

INCORRECT REPORTING ON CLIENT-LEVEL SEGREGATION AND MONITORING OF COLLATERAL

DID NOT ISSUE SMS AND EMAIL INTIMATIONS TO CLIENTS REGARDING TRANSFER OF FUNDS DURING RUNNING ACCOUNT SETTLEMENT

SUBMITTED INCORRECT DATA IN RESPECT OF WEEKLY MONITORING OF CLIENT FUNDS

DELAY IN UPSTREAMING OF CLIENTS' CLEAR CREDIT BALANCES TO CLEARING CORPORATION  		DESISTED AUTHORSED PERSONS FROM INDULGING IN ANY MONEY/SECURITIES DEALINGS WITH CLIENTS AND DIRECTED TO SUBMIT DECLARATION THAT NO CLIENT FUNDS ARE LYING WITH AP AS ON DATE FROM 25-FEB-2026 TO 24-MAY-2026Rs.91,673

25-FEB-2026

PROHIBITED AUTHORISED PERSONS FROM BUSINESS FROM 25-FEB-2026 TO 24-MAY-2026

IMPOSED PENALTY FROM 25-FEB-2026 TO 24-MAY-2026 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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