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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 01-JAN-1997 TO 29-APR-2025

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.

STOCK BROKERS: DIRECTED TO REVIEW THEIR SYSTEMS AND PROCEDURES AND TO REPORT SEBI ACCORDINGLY

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person SAM GLOBAL SECURITIES LTD.  

(Member : BSE)
  ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS  DIRECTED TO REVIEW THEIR SYSTEMS AND PROCEDURES AND TO REPORT SEBI ACCORDINGLY

05-OCT-2005
2 
History of entity/person SMC GLOBAL SECURITIES LTD.  

(Member : OTC)
  ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS  DIRECTED TO REVIEW THEIR SYSTEMS AND PROCEDURES AND TO REPORT SEBI ACCORDINGLY

05-OCT-2005
3 
History of entity/person SMC GLOBAL SECURITIES LTD.  

(Member : LSE)
  ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS  DIRECTED TO REVIEW THEIR SYSTEMS AND PROCEDURES AND TO REPORT SEBI ACCORDINGLY

05-OCT-2005
4 
History of entity/person SMC GLOBAL SECURITIES LTD.  

(Member : NSE)
  ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS  DIRECTED TO REVIEW THEIR SYSTEMS AND PROCEDURES AND TO REPORT SEBI ACCORDINGLY

05-OCT-2005
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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