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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 29-APR-2025

STOCK BROKERS: INVOLVED IN UNAUTHORISED OPERATIONS ON EXCHANGE TERMINALS

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person EXCEL STOCK BROKING PVT.LTD.  
  TRADING TERMINAL OPERATED AT LOCATIONS OTHER THAN REPORTED TO NSE  IMPOSED PENALTY Rs.1,00,000

07-JAN-2021 		SAT: SAT VIDE ITS ORDER DATED 07/01/2021 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.1 LAC FROM RS.10 LACS TO BE PAID WITHIN FOUR WEEKS FROM DATE OF THIS ORDER  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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