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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: DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD.

(PAN:AAACN3405F)

(Depository Participants : NSDL,Member : BSE/NSE)  
  DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES

DEFICIENCIES IN CLIENT DATABASE

VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS

ILLEGALLY CHARGED CUSTODY CHARGES FROM CLIENTS

DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY   		IMPOSED PENALTY RS.1,00,000

04-MAY-2009 		 
2
History of entity/person LSE SECURITIES LTD.

(PAN:AAACL6361J)

(Member : NSE/BSE)  
  DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY

DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS

DEALT IN CASH WITH CLIENTS

ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS

DID NOT ACCEPT DEPOSIT FROM ITS SUB-BROKERS IN FORM AND MANNER AS STIPULATED BY SEBI

DID NOT MAKE CLOSE OUT FOR INTERNAL SHORTAGE BETWEEN ITS SUB-BROKERS AT SAME PERCENTAGE AS APPLICABLE FOR SHORTAGE AT BSE/NSE

DID NOT UPLOAD ITS ANNUAL ACCOUNTS ON ITS WEBSITE   		IMPOSED PENALTY RS.1,00,000

29-JUL-2013 		 
3
History of entity/person TRANSWORLD SECURITIES LTD.

(Depository Participants : NSDL,Member : NSE/BSE)  
  ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES

ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS

ALLEGED FAILURE IN TAKING PROOF OF IDENTITY AND ADDRESS OF ITS CLIENTS WHILE OPENING BENEFICIARY ACCOUNTS

ALLEGED FAILURE IN MAINTENANCE OF NOMINATION REGISTER

ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES

ALLEGED FAILURE IN APPOINTMENT OF NCFM CERTIFIED PERSONS IN SOME OF ITS BRANCHES

ALLEGED DELAY IN SUBMISSION OF ANNUAL ACCOUNTS AND NETWORTH CERTIFICATE TO NSDL

ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)

27-MAY-2011 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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