| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALLIED FINANCIAL SERVICES PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 04-NOV-2019
06-NOV-2019
|
|
| 2 |
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 11-OCT-2017
13-OCT-2017
|
|
| 3 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DEACTIVATE TRADING TERMINALS FROM 03-AUG-2020
03-AUG-2020
|
BSE VIDE ITS NOTICE DATED 18/08/2020 RESTORED TRADING RIGHTS AND REACTIVATED TRADING TERMINALS IN ALL SEGMENTS OF EXCHANGE WITH EFFECT FROM 18/08/2020
BSE VIDE ITS NOTICE DATED 04/09/2020 WITHDREW TRADING RIGHTS AND ALSO DEACTIVATED TRADING TERMINALS IN ALL OTHER SEGMENTS W.E.F 04/09/2020 (REFER ORDER DATED 01/09/2020)
|
| 4 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 26-NOV-2020
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 26-NOV-2020
04-DEC-2020
|
|
| 5 |
|
|
ATLAS INTEGRATED FINANCE LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
CANCELLED STOCK BROKER MEMBERSHIP
10-JAN-2023
|
BSE VIDE ITS NOTICE DATED 20/03/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 6 |
|
|
BALANCE EQUITY BROKING (INDIA) PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 31-OCT-2023
31-OCT-2023
|
|
| 7 |
|
|
BSV SECURITIES PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
CANCELLED STOCK BROKER MEMBERSHIP
10-JAN-2023
|
BSE VIDE ITS NOTICE DATED 19/07/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 8 |
|
|
CGS-CIMB SECURITIES INDIA PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
CANCELLED STOCK BROKER MEMBERSHIP
10-JAN-2023
|
BSE VIDE ITS NOTICE DATED 06/03/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 9 |
|
|
CPR CAPITAL SERVICES LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 05-NOV-2019
06-NOV-2019
|
|
| 10 |
|
|
EXCLUSIVE BROKING HOUSE LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
CANCELLED STOCK BROKER MEMBERSHIP
10-JAN-2023
|
BSE VIDE ITS NOTICE DATED 26/07/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 11 |
|
|
FAIRWEALTH SECURITIES LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 14-JAN-2020
16-JAN-2020
|
|
| 12 |
|
|
GROVALUE SECURITIES PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 30-APR-2020
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 30-APR-2020
04-MAY-2020
|
|
| 13 |
|
|
HASMUKHLAL NANALAL JHAVERI,M/S
|
|
|
|
HASMUKHLAL NANALAL JHAVERI
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
CANCELLED STOCK BROKER MEMBERSHIP
10-JAN-2023
|
BSE VIDE ITS NOTICE DATED 13/06/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 14 |
|
|
KARVY STOCK BROKING LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 24-NOV-2020
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 24-NOV-2020
24-NOV-2020
|
|
| 15 |
|
|
KAYNET CAPITAL LTD.
|
|
|
FAILED TO REDRESS INVESTOR'S COMPLAINTS
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 31-JUL-2020
31-JUL-2020
|
|
| 16 |
|
|
KESHAV SECURITIES PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
CANCELLED STOCK BROKER MEMBERSHIP
10-JAN-2023
|
BSE VIDE ITS NOTICE DATED 23/11/2023 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 17 |
|
|
KSBL SECURITIES LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE
03-MAR-2020
|
|
| 18 |
|
|
MAXGROWTH CAPITAL PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 23-OCT-2024
23-OCT-2024
|
|
| 19 |
|
|
MODEX INTERNATIONAL SECURITIES LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 18-SEP-2020
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 18-SEP-2020
29-SEP-2020
|
|
| 20 |
|
|
OCTAFX INDIA PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES AND PROVISIONS OF RULES, BYE LAWS AND REGULATION OF BSE
|
TRADING RIGHTS WITHDRAWN FROM 28-MAR-2023
28-MAR-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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