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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 11-APR-2026

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: ADVISED TO BE CAREFUL AND CAUTIOUS IN CONDUCT OF BUSINESS AS A STOCK BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
8821
History of entity/person ZAVERI & CO.PVT.LTD.

(PAN:AAACZ2014N)

(Member : NSEL)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   SUSPENDED REGISTRATION AS STOCK BROKER FROM 31-JUL-2023 TO 30-OCT-2023

31-JUL-2023 		SAT: SAT VIDE ITS ORDER DATED 12/03/2025 DISPOSED OF THE APPEAL AND STAYED THE IMPUGNED ORDER DATED 31/07/2023  
8822
History of entity/person ZEBU SHARE & WEALTH MANAGEMENTS PVT.LTD.

(PAN:AALCA8580D)

(Member : MCX)  
  DID NOT DEPLOY ADEQUATE MECHANISM TO GET TIMELY ALERTS ON CAPACITY UTILIZATION OF SYSTEMS WHEN IT GOES BEYOND 70% OF INSTALLED CAPACITY

DID NOT CONDUCT TESTING OF SOFTWARE, UPDATES AND CHANGES PRIOR TO DEPLOYMENT IN THE PRODUCTION

DID NOT HAVE INCIDENT AND RESPONSE TEAM/ CRISIS MANAGEMENT TEAM

DID NOT IDENTIFY AND CLASSIFY CRITICAL ASSETS BASED ON THEIR SENSITIVITY AND CRITICALITY FOR BUSINESS OPERATIONS, SERVICES AND DATA MANAGEMENT

DID NOT CONDUCT VULNERABILITY ASSESSMENT AND PENETRATION TEST (VAPT) OF ALL THE CRITICAL ASSETS AND INFRASTRUCTURE

DID NOT ESTABLISH APPROPRIATE MONITORING SYSTEMS AND PROCESSES TO FACILITATE CONTINUOUS MONITORING OF SECURITY EVENTS AND ALERTS/TIMELY DETECTION OF UNAUTHORIZED OR MALICIOUS ACTIVITIES

DID NOT PROVIDE LIST OF USERS WHO WERE GRANTED ACCESS TO CRITICAL SERVERS, PURPOSES AND PERIOD FOR WHICH ACCESS WAS GRANTED

DID NOT MAINTAIN LOGS OF SERVERS AND FIREWALLS

DID NOT INSTRUCT VENDORS TO ADHERE TO APPLICABLE GUIDELINES IN CYBER SECURITY AND CYBER RESILIENCE POLICY AND DID NOT OBTAIN NECESSARY SELF-CERTIFICATIONS FROM THEM TO ENSURE COMPLIANCE WITH POLICY GUIDELINES   		IMPOSED PENALTY RS.5,00,000

08-AUG-2025 		 
8823
History of entity/person ZEBU SHARE & WEALTH MANAGEMENTS PVT.LTD.

(PAN:AALCA8580D)

(Member : BSE/NSE)  
  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
8824
History of entity/person ZERODHA BROKING LTD.

(PAN:AABCZ2616B)

(Member : BSE/NSE)  
  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
8825
History of entity/person ZERODHA BROKING LTD.

(PAN:AABCZ2616B)

(Member : BSE)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

14-MAR-2023 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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