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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: DID NOT PAY FEE LIABILITY STATEMENT OF SEBI (INTEREST LIABILITY REGULARIZATION) SCHEMES, 2004

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

(Member : DSE)  
  DID NOT PAY CREDIT BALANCE, FEE AND INTEREST AS PER FEE LIABILITY STATEMENT OF SEBI (INTEREST LIABILITY REGULARIZATION) SCHEMES, 2004   DIRECTED TO PAY FEE LIABILITY

20-JUN-2019 		SAT: SAT VIDE ITS ORDER DATED 22/03/2021 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDER. DIRECTED RESPONDENT TO PAY SIMPLE INTEREST ON RS.3,14,497.00 @ OF 6% P.A. FROM 28/03/2005 TO 29/06/2018. IN ADDITION APPELLANT ALSO ENTITLED FOR PAYMENT OF COST RS.50,000 AND AMOUNT SHALL BE PAID WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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