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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.

STOCK BROKERS: DIRECTED NOT TO LAUNCH ANY NEW SCHEMES

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

(PAN:AAACS0581R)

(Member : NSE)  
  DID NOT COLLECT MARGIN IN APPROVED FORM/MODE AND DEFAULTED IN REPORTING OF MARGINS TO STOCK EXCHANGES   PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER FROM 23-AUG-2013 TO 22-NOV-2013

DIRECTED NOT TO LAUNCH ANY NEW SCHEMES FROM 23-AUG-2013 TO 22-NOV-2013

02-AUG-2013 		SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS

SAT: SAT VIDE ITS ORDER DATED 16/06/2016 PERMITTED APPELLANT TO WITHDRAW THE MISC. APPLICATION AND APPEAL WITH LIBERTY TO MOVE AN APPLICATION BEFORE SEBI SEEKING REDRESSAL OF GRIEVANCES. NO COSTS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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