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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 17-MAY-2024
History of entity/person METALYST FORGINGS LTD.   
  NSE  PURSUANT TO RESOLUTION PLAN APPROVED BY NCLT AND NCLAT  SUSPENDED FROM TRADING FROM 17-MAY-2024

17-MAY-2024
 
2 15-MAY-2024
History of entity/person PEARL STOCK BROKING PVT.LTD.   
  NSE  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

15-MAY-2024
 
3 08-MAY-2024
History of entity/person GAMMON INDIA LTD.   
  NSE  VIOLATED RULE 21(2) (B) OF SECURITIES CONTRACT REGULATIONS RULES, 1957  COMPULSORY DELISTING FROM 10-MAY-2024

08-MAY-2024
 
4 07-MAY-2024
History of entity/person DEALMONEY COMMODITIES PVT.LTD.   
  NSE  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO RE-INSTATE ORIGINAL PORTFOLIO OF APPLICANT’S DEMAT ACCOUNT

CLAIM ADMITTED

07-MAY-2024
 
5 07-MAY-2024
History of entity/person DEALMONEY COMMODITIES PVT.LTD.   
  NSE  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO RE-INSTATE ORIGINAL PORTFOLIO OF APPLICANT’S DEMAT ACCOUNT

CLAIM ADMITTED

07-MAY-2024
 
6 27-APR-2024
History of entity/person PREFERRED SECURITIES PVT.LTD.   
  NSE  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

27-APR-2024
 
7 26-APR-2024
History of entity/person AFFINITY SECURITIES PVT.LTD.   
  NSE  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2024

26-APR-2024
NSE VIDE ITS CIRCULAR DATED 26/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
8 24-APR-2024
History of entity/person GDB SHARE & STOCK BROKING SERVICES LTD.   
  NSE  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

24-APR-2024
NSE VIDE ITS CIRCULAR DATED 24/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
9 20-APR-2024
History of entity/person PNB INVESTMENT SERVICES LTD.   
  NSE  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

20-APR-2024
 
10 19-APR-2024
History of entity/person VICTORY FINANCIAL SERVICES LTD.   
  NSE  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

19-APR-2024
NSE VIDE ITS CIRCULAR DATED 19/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
11 18-APR-2024
History of entity/person CHOICE EQUITY BROKING PVT.LTD.   
  NSE  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.12,03,112

DIRECTED TO REFUND BROKERAGE

18-APR-2024
 
12 16-APR-2024
History of entity/person STAR FINVEST PVT.LTD.   
  NSE  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

16-APR-2024
NSE VIDE ITS CIRCULAR DATED 16/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
13 15-APR-2024
History of entity/person BRIGHTCOM GROUP LTD.   
  NSE  DID NOT SUBMIT FINANCIAL RESULTS VIOLATING REGULATION 33 OF SEBI (LODR) REGULATIONS,2015  SECURITIES SHIFTED TO Z CATEGORY

15-APR-2024
 
14 26-MAR-2024
History of entity/person SINTEX PLASTICS TECHNOLOGY LTD.   
  NSE  DID NOT SUBMIT RECONCILIATION OF SHARE CAPITAL VIOLATING REGULATION 76 OF SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018  SECURITIES SHIFTED TO Z CATEGORY

26-MAR-2024
 
15 26-MAR-2024
History of entity/person SPENTEX INDUSTRIES LTD.   
  NSE  DID NOT ADHERE TO REQUIREMENTS OF COMPOSITION OF BOARD AS PER REGULATION 17(1) OF SEBI (LODR) REGULATIONS, 2015

DID NOT SUBMIT CORPORATE GOVERNANCE REPORT U/S 27(2) OF SEBI (LODR) REGULATIONS,2015 
SECURITIES SHIFTED TO Z CATEGORY

26-MAR-2024
 
16 21-MAR-2024
History of entity/person MOHOTA INDUSTRIES LTD.   
  NSE  RESOLUTION PLAN APPROVED PURSUANT TO ORDER OF NCLT UNDER INSOLVENCY & BANKRUPTCY CODE, 2016  COMPANY DELISTED FROM 28-MAR-2024

21-MAR-2024
 
17 15-MAR-2024
History of entity/person MOTILAL OSWAL FINANCIAL SERVICES LTD. 

(Old Name : MOTILAL OSWAL SECURITIES LTD.)  
  NSE  EARNED WRONGFUL BROKERAGE  DIRECTED TO REFUND BROKERAGE
AWARD AMOUNT: RS.60,003

15-MAR-2024
 
18 15-MAR-2024
History of entity/person NAKAMICHI SECURITIES LTD.   
  NSE  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED REGISTRATION AS STOCK BROKER

15-MAR-2024
NSE VIDE ITS CIRCULAR DATED 15/03/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
19 13-MAR-2024
History of entity/person CHOICE EQUITY BROKING PVT.LTD.   
  NSE  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.21,78,228

13-MAR-2024
 
20 13-MAR-2024
History of entity/person VISESH INFOTECNICS LTD. 

(New Name : MPS INFOTECNICS LTD.)

(Old Name : VISESH INFOSYSTEMS LTD.)  
  NSE  DID NOT SUBMIT SHAREHOLDING PATTERN VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015  SECURITIES SHIFTED TO Z CATEGORY

13-MAR-2024
 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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