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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 12-OCT-2026

STOCK BROKERS: VIOLATED PREVENTION OF MONEY LAUNDERING ACT, 2002

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person PARKER DERIVATIVES (INDIA) PVT.LTD.  
  DID NOT ENSURE THAT AUTHORISED PERSON ENGAGED ONLY IN PERMITTED ACTIVITIES AND DID NOT UNDERTAKE ANY BUSINESSES DISALLOWED UNDER BYE-LAWS, RULES AND REGULATIONS OF SEBI/EXCHANGE

DID NOT CONDUCT PHYSICAL INSPECTION OF AUTHORISED PERSONS AS WELL AS BRANCH OFFICE

DID NOT INSPECT REQUISITE INSPECTIONS OF AUTHORISED PERSONS AND MUMBAI BRANCH AS PER PRESCRIBED PARAMETERS

DID NOT MAINTAIN AND PRESERVE ALL RECORDS OF TRANSACTIONS PRESCRIBED UNDER RULE 3 OF (PML) ACT, 2002

DID NOT MAINTAIN PROPER AND/OR COMPLETE CLIENT REGISTRATION FORMS

DID NOT OBTAIN CONSENT OF CLIENTS FOR SENDING ELECTRONIC CONTRACT NOTES (ECN)  		IMPOSED PENALTY Rs.1,50,000

08-SEP-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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