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SOURCE OF INFORMATION

SOURCE OF INFORMATION: NATIONAL COMMODITY CLEARING LTD. WEBSITE - PERIOD COVERED : 14-MAY-2008 TO 13-JUL-2024

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: CEASED TO ACT DIRECTLY OR INDIRECTLY AS COMMODITY DERIVATIVES BROKER

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

(PAN:AAACP6209K)
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

26-FEB-2019 		 
2
History of entity/person GEOFIN COMTRADE LTD.  

(PAN:AADCG3019R)
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

26-FEB-2019 		 
3
History of entity/person INDIA INFOLINE COMMODITIES LTD.  

(PAN:AABCI2930D)
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

25-FEB-2019 		 
4
History of entity/person MOTILAL OSWAL COMMODITIES BROKER PVT.LTD.  

(PAN:AAACP3147N)
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

25-FEB-2019 		 
5
History of entity/person PHILLIP COMMODITIES INDIA PVT.LTD.  

(PAN:AACCR6675H)
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

01-MAR-2019 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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