S.
DATE OF ORDER
ENTITY
PERSON
COMPETENT AUTHORITY
REGULATORY CHARGES
REGULATORY ACTION(S) / DATE OF ORDER
FURTHER DEVELOPMENTS
21
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
22
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
23
26-FEB-2024
KOTAK SECURITIES LTD.
NSE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
24
22-FEB-2024
KOTAK SECURITIES LTD.
NSE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED
25
21-FEB-2024
ALICE BLUE FINANCIAL SERVICES PVT.LTD.
NSE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED
26
21-FEB-2024
DGP SECURITIES LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER
27
19-FEB-2024
ICICI SECURITIES LTD.
NSE
DEFICIENCY IN RENDERING OF SERVICE
CLAIM ADMITTED
28
13-FEB-2024
PEERLESS SECURITIES LTD.
NSE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED
29
13-FEB-2024
SHARON BIO-MEDICINE LTD.
NSE
RESOLUTION PLAN APPROVED PURSUANT TO ORDER OF NCLT UNDER INSOLVENCY & BANKRUPTCY CODE, 2016
COMPANY DELISTED FROM 20-FEB-2024
30
08-FEB-2024
DAIWA CAPITAL MARKETS INDIA PVT.LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER
NSE VIDE ITS CIRCULAR DATED 15/05/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
31
07-FEB-2024
MASTER CAPITAL SERVICES LTD.
NSE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED
32
06-FEB-2024
NUVAMA WEALTH & INVESTMENT LTD.
NSE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
CLAIM ADMITTED
33
06-FEB-2024
VERACITY FINANCIAL SERVICES PVT.LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER
34
05-FEB-2024
SKS TEXTILE LTD.
NSE
PURSUANT TO RESOLUTION PLAN APPROVED BY NCLT AND NCLAT
SUSPENDED FROM TRADING FROM 06-FEB-2024
35
01-FEB-2024
RELIGARE BROKING LTD.
NSE
DEFICIENCY IN RENDERING OF SERVICE
CLAIM ADMITTED
36
31-JAN-2024
RELIABLE EQUITY PVT.LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS AUTHORISED PERSON
37
29-JAN-2024
SBICAP SECURITIES LTD.
NSE
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD
CLAIM ADMITTED
38
25-JAN-2024
IIFL SECURITIES LTD.
NSE
EARNED WRONGFUL BROKERAGE
DIRECTED TO DEPOSIT AMOUNT IN STOCK EXCHANGE INVESTORS PROTECTION FUND
39
24-JAN-2024
SURUPAM INFIN SERVICES PVT.LTD.
NSE
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
CANCELLED REGISTRATION AS STOCK BROKER
40
19-JAN-2024
FINVASIA SECURITIES PVT.LTD.
NSE
DEFICIENCY IN RENDERING OF SERVICE
CLAIM ADMITTED
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
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