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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: REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

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

(PAN:AAECM3447N)

(Member : MCX)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

21-OCT-2021 		SAT: SAT VIDE ITS ORDER DATED 23/12/2021 DISPOSED OFF STAY APPLICATION AND DIRECTED TO STAY EFFECT AND OPERATION OF IMPUGNED ORDER DURING PENDENCY OF THE APPEAL  
2
History of entity/person MATALIA COMMODITY

(PAN:AKEPM2003M)

(Member : NSEL)  
Click here to view complete history of this specific entity/person DIPAK C.MATALIA

PAN:AKEPM2003M
  		NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

DEBARRED FROM MAKING FRESH APPLICATION SEEKING REGISTRATION AS COMMODITY DERIVATIVE BROKER

12-SEP-2023 		SAT: SAT VIDE ITS ORDER DATED 06/12/2023 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER AS IT RELATES TO APPELLANT TILL NEXT DATE OF LISTING

SAT: SAT VIDE ITS ORDER DATED 12/12/2023 DISPOSED OF THE GROUP OF APPEALS BY DIRECTING SEBI TO CONSIDER AND COME OUT WITH A SCHEME UNDER SETTLEMENT REGULATIONS PREFERABLY WITHIN THREE MONTHS FROM DATE OF THIS ORDER. IN THE EVENT, SCHEME NOT FRAMED UNDER SETTLEMENT REGULATIONS BY SEBI THEN SAID DECISION TO BE COMMUNICATED TO ALL APPELLANTS  
3
History of entity/person RVI COMMODITY SERVICES PVT.LTD.

(CIN:U51100GJ1993PTC020039
PAN:AAACG8684M)

(Member : NSEL)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

DEBARRED FROM MAKING FRESH APPLICATION SEEKING REGISTRATION AS COMMODITY DERIVATIVE BROKER

26-SEP-2023 		 
4
History of entity/person SUGAL COMMODITY BROKERS PVT.LTD.

(PAN:AABCJ2604H)

(Member : NSEL)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

25-JAN-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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