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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: ENGAGED IN BUSINESS OTHER THAN OF SECURITIES

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 CLIENT’S 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 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 		 
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 LFS BROKING PVT.LTD.  
  ENGAGED IN BUSINESS OTHER THAN OF SECURITIES

PROMISED ASSURED RETURN TO CLIENTS/INVESTORS  		SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-JAN-2023

31-JAN-2023 		 
5
History of entity/person PREMIUM GLOBAL SECURITIES PVT.LTD.  
  ENGAGED IN BUSINESS OTHER THAN OF SECURITIES  IMPOSED PENALTY Rs.3,00,000

20-OCT-2021 		SAT: SAT VIDE ITS ORDER DATED 20/10/2021 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.3 LAC FROM RS.5 LAC AND DISMISSED REST OF THE APPEAL.NO COSTS  
6
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 CLIENT’S 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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