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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: IMPOSED PENALTY

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
941
History of entity/person WAY2WEALTH BROKERS PVT.LTD.

(PAN:AAACW3290M)

(Depository Participants : CDSL/NSDL,Member : BSE/NSE/MCX/BGSE)  
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS   IMPOSED PENALTY RS.3,00,000

25-AUG-2021 		 
942
History of entity/person YES SECURITIES (INDIA) LTD.

(PAN:AAACY6065C)

(Member : BSE/NSE/MSEI)  
  DELAY IN SENDING RETENTION STATEMENT TO CLIENTS

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

DID NOT ADHERE TO LEVERAGE AND EXPOSURE LIMITS AS PRESCRIBED WHILE GRANTING MARGIN TRADING FACILITY

DISCREPANCIES IN NETWORTH REPORTED TO STOCK EXCHANGE

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES   		IMPOSED PENALTY RS.5,00,000

27-SEP-2023 		 
943
History of entity/person YUG SECURITIES PVT.LTD.

(Member : NSE)  
  CONNECTED TO SECONDARY SERVER WITHOUT ANY SUFFICIENT REASON DURING INVESTIGATION PERIOD VIOLATING NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH POINT 2(A) OF CHAPTER V OF NSE BYE-LAWS READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE ACCESSING SECONDARY SERVER OF NSE COLOCATION IN LINE WITH INSTRUCTION OF NSE CO-LOCATION DIRECTIVES/INSTRUCTIONS/GUIDELINES VIOLATING CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKER) REGULATIONS, 1992 IN MATTER OF NSE CO-LOCATION FACILITY   		IMPOSED PENALTY RS.3,00,000

12-APR-2022 		SAT: SAT VIDE ITS ORDER DATED 13/02/2026 DISMISSED THE APPEAL. NO COSTS  
944
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 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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