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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 : 03-JUL-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.

DEPOSITORY PARTICIPANTS: CHARGED EXCESS/DIFFERENT RATES OF BROKERAGE

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

(PAN:AAACG9843L)

(Depository Participants : NSDL,Member : BSE/NSE)  
  DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED MISUTILISATION OF CLIENTS FUNDS

ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME

ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD

ALLEGED CHARGING OF HIGHER BROKERAGE FROM CLIENTS TOWARDS PURCHASED AND SALE OF SHARES

ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING AND BORROWING FUNDS FOR TRANACTIONS OF CLIENTS AND CHARGING INTEREST

ALLEGED NON-COLLECTION OF MARGINS FROM CLIENTS AND PERMITTED THEM TO TRADE WITHOUT SUFFICIENT CASH BALANCE   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)

02-AUG-2011 		 
2
History of entity/person INVENTURE GROWTH & SECURITIES LTD.

(PAN:AAACI2044K)

(Depository Participants : CDSL,Member : BSE/NSE/MSEI)  
  DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

MISUSED PLEDGING OF CLIENT’S SECURITIES

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

FUNDED CLIENTS OUTSIDE OF MARGIN TRADING FACILITY BEYOND T+2+5 DAYS

DID NOT ISSUE CONTRACT NOTES

CHARGED EXCESS BROKERAGE

DID NOT UPLOAD KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES

DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS

DISCREPANCIES IN NETWORTH REPORTED TO STOCK EXCHANGE

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES   		IMPOSED PENALTY RS.10,00,000

17-NOV-2020 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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