S.
DATE OF ORDER
ENTITY
PERSON
COMPETENT AUTHORITY
REGULATORY CHARGES
REGULATORY ACTION(S) / DATE OF ORDER
FURTHER DEVELOPMENTS
1
27-APR-2024
PREFERRED SECURITIES PVT.LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER
2
26-APR-2024
AFFINITY SECURITIES PVT.LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2024
NSE VIDE ITS CIRCULAR DATED 26/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
3
24-APR-2024
GDB SHARE & STOCK BROKING SERVICES LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER
NSE VIDE ITS CIRCULAR DATED 24/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
4
20-APR-2024
PNB INVESTMENT SERVICES LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER
5
19-APR-2024
VICTORY FINANCIAL SERVICES LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER
NSE VIDE ITS CIRCULAR DATED 19/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
6
18-APR-2024
CHOICE EQUITY BROKING PVT.LTD.
NSE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED
7
16-APR-2024
STAR FINVEST PVT.LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER
NSE VIDE ITS CIRCULAR DATED 16/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
8
15-APR-2024
BRIGHTCOM GROUP LTD.
NSE
DID NOT SUBMIT FINANCIAL RESULTS VIOLATING REGULATION 33 OF SEBI (LODR) REGULATIONS,2015
SECURITIES SHIFTED TO Z CATEGORY
9
26-MAR-2024
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
10
26-MAR-2024
SPENTEX INDUSTRIES LTD.
NSE
DID NOT ADHERE TO REQUIREMENTS OF COMPOSITION OF BOARD AS PER REGULATION 17(1) OF SEBI (LODR) REGULATIONS, 2015
SECURITIES SHIFTED TO Z CATEGORY
11
21-MAR-2024
MOHOTA INDUSTRIES LTD.
NSE
RESOLUTION PLAN APPROVED PURSUANT TO ORDER OF NCLT UNDER INSOLVENCY & BANKRUPTCY CODE, 2016
COMPANY DELISTED FROM 28-MAR-2024
12
15-MAR-2024
MOTILAL OSWAL FINANCIAL SERVICES LTD.
NSE
EARNED WRONGFUL BROKERAGE
DIRECTED TO REFUND BROKERAGE
13
15-MAR-2024
NAKAMICHI SECURITIES LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER
NSE VIDE ITS CIRCULAR DATED 15/03/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
14
13-MAR-2024
CHOICE EQUITY BROKING PVT.LTD.
NSE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED
15
13-MAR-2024
VISESH INFOTECNICS LTD.
NSE
DID NOT SUBMIT SHAREHOLDING PATTERN VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015
SECURITIES SHIFTED TO Z CATEGORY
16
11-MAR-2024
ASSET ALLIANCE SECURITIES PVT.LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER FROM 11-MAR-2024
NSE VIDE ITS CIRCULAR DATED 11/03/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
17
08-MAR-2024
JM FINANCIAL SERVICES LTD.
NSE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED
18
29-FEB-2024
RELIANCE CAPITAL LTD.
NSE
RESOLUTION PLAN APPROVED PURSUANT TO ORDER OF NCLT UNDER INSOLVENCY & BANKRUPTCY CODE, 2016
COMPANY DELISTED FROM 01-MAR-2024
19
29-FEB-2024
SMIFS LTD.
NSE
ALLOWED AND FACILITATED NON-GENUINE TRADE TRANSACTIONS
IMPOSED PENALTY RS.28,87,000
SAT: SAT VIDE ITS ORDER DATED 29/02/2024 DIRECTED APPELLANT TO DEPOSIT RS.14.60 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL. FURTHER, DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED THREE WEEKS THEREAFTER
20
26-FEB-2024
KOTAK SECURITIES LTD.
NSE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
First
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
101
102
103
104
105
106
107
108
109
110
111
112
113
114
115
116
117
118
119
120
121
122
123
124
125
126
127
128
129
130
131
132
133
134
135
136
137
138
139
140
141
142
143
144
145
146
147
148
149
150
151
152
153
154
155
156
157
158
159
160
161
162
163
164
165
166
167
168
169
170
171
172
173
174
175
176
177
178
179
180
181
182
183
184
185
186
187
188
189
190
191
192
193
194
195
196
197
198
199
200
201
202
203
204
205
206
207
208
209
210
211
212
213
214
215
216
217
218
219
220
221
222
223
224
225
226
227
228
229
230
231
232
233
234
235
236
237
238
239
240
241
242
243
244
245
246
247
248
249
250
251
252
253
254
255
256
257
258
259
260
261
262
263
264
265
266
267
268
269
270
271
272
273
274
275
276
277
278
279
280
281
282
283
284
285
286
287
288
289
290
291
292
293
294
295
296
297
298
299
300
301
302
303
304
305
306
307
308
309
310
311
312
313
314
315
316
317
318
319
320
321
322
323
324
325
326
327
328
329
330
331
332
333
334
335
336
337
338
339
340
341
342
343
344
345
346
347
348
349
350
351
352
353
354
355
356
357
358
359
360
361
362
363
364
365
366
367
368
369
370
371
372
373
374
375
376
377
378
379
380
381
382
383
384
385
386
387
388
389
390
391
392
393
394
395
396
397
398
399
400
401
402
403
404
405
406
407
408
409
410
411
412
413
414
415
416
417
418
419
420
421
422
423
424
425
426
427
428
429
430
431
432
433
434
435
436
437
438
439
440
441
442
443
444
445
446
Next
Last
Page 1 of 446
