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Regulatory Actions Covered By This Website

REGULATORY ACTIONS IN CHRONOLOGICAL ORDER

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

ENTITY

S.
No.		 DATE OF ORDER ENTITY PERSON COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 24-AUG-2026
History of entity/person SHRI BRIJ SECURITIES PVT.LTD.   
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

24-AUG-2026 		 
2 21-AUG-2026
History of entity/person GOGIA CAPITAL SERVICES LTD. 

(PAN:AAACG2906L)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

21-AUG-2026 		 
3 07-AUG-2026
History of entity/person SARA SECURITIES PVT.LTD. 

(PAN:AADCS5951Q)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

07-AUG-2026 		 
4 29-JUL-2026
History of entity/person SPAN CAPLEASE PVT.LTD.   
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

29-JUL-2026 		 
5 27-JUL-2026
History of entity/person DB (INTERNATIONAL) STOCK BROKERS LTD. 

(CIN:L67120HR1992PLC035349
PAN:AAACD0852G)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

27-JUL-2026 		 
6 21-JUL-2026
History of entity/person IFCI FINANCIAL SERVICES LTD. 

(Old Name : C.R.FINANCE & SECURITIES LTD.)

(PAN:AAACI0567P)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

21-JUL-2026 		 
7 10-JUL-2026
History of entity/person SUKESH JAIN SECURITIES PVT.LTD.   
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

10-JUL-2026 		 
8 10-JUL-2026
History of entity/person V.C.MEHTA   
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

10-JUL-2026 		 
9 10-JUL-2026
History of entity/person VIKABH SECURITIES PVT.LTD. 

(PAN:AAACB3469P)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

10-JUL-2026 		 
10 07-JUL-2026
History of entity/person INDIA CEMENTS INVESTMENT SERVICES LTD. 

(Old Name : ARUNA SECURITIES LTD.)

(PAN:AAACA3197M)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

07-JUL-2026 		 
11 06-JUL-2026
History of entity/person SMART EQUITY BROKERS PVT.LTD.   
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

06-JUL-2026 		 
12 25-JUN-2026
History of entity/person R.B.K.SHARE BROKING LTD. 

(PAN:AAACR5488A)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

25-JUN-2026 		 
13 15-JUN-2026
History of entity/person TRADESMART FINTECH SECURITIES LTD. 

(PAN:AAACV6221B)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

15-JUN-2026 		 
14 11-JUN-2026
History of entity/person SHILPA STOCK BROKER PVT.LTD. 

(PAN:AAECS9799R)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

11-JUN-2026 		 
15 27-MAY-2026
History of entity/person RUDRA SHARES & STOCK BROKERS LTD. 

(PAN:AADCG1458J)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

27-MAY-2026 		 
16 11-MAY-2026
History of entity/person SMC GLOBAL SECURITIES LTD. 

(Old Name : SAM GLOBAL SECURITIES LTD.)

(PAN:AAACS0581R)  
  NSCCL  REPORTED INCORRECT CLIENT MARGIN AS PROPRIETARY MARGIN

DID NOT RECEIVE APPROPRIATE FUNDS FOR PROPRIETARY TRADES

DISCREPANCIES IN ALLOCATION AND SEGREGATION REPORTING OF PROPRIETARY COLLATERAL

DID NOT COLLECT CRYSTALLIZED OBLIGATION IN CASH FOR PROPRIETARY TRADES  		IMPOSED PENALTY RS.27,00,000

DIRECTED TO CONDUCT MONTHLY CONCURRENT AUDIT OF ITS OPERATIONS WITH RESPECT TO ALLOCATION AND SEGREGATION

11-MAY-2026 		 
17 08-MAY-2026
History of entity/person C D COMMODITIES BROKING LTD. 

(PAN:AACCC0854B)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

08-MAY-2026 		 
18 05-MAY-2026
History of entity/person GEOJIT FINANCIAL SERVICES LTD. 

(New Name : GEOJIT BNP PARIBAS FINANCIAL SERVICES LTD.)

(Old Name : GEOJIT SECURITIES LTD.)

(PAN:AABCG1935E)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

05-MAY-2026 		 
19 04-MAY-2026
History of entity/person SBI-SG GLOBAL SECURITIES SERVICES PVT.LTD. 

(PAN:AAMCS4727R)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

04-MAY-2026 		 
20 29-APR-2026
History of entity/person A.K.STOCKMART PVT.LTD. 

(PAN:AAFCA5531N)  
  NSCCL  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

29-APR-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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