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SOURCE : NEWSPAPER ADS RELEASED BY NCDEX STOCK EXCHANGE LTD.

SOURCE OF INFORMATION : NEWSPAPER ADS RELEASED BY NATIONAL COMMODITY & DERIVATIVES EXCHANGE LTD.
PERIOD COVERED : 30-MAR-2011 TO 21-NOV-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: DID NOT ADHERE TO RULES, BYE-LAWS AND REGULATIONS OF THE EXCHANGE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANAND RATHI COMMODITIES LTD.  
  DID NOT ADHERE TO RULES, BYE-LAWS AND REGULATIONS OF THE EXCHANGE   IMPOSED PENALTY

27-JAN-2020 		SAT: SAT VIDE ITS ORDER DATED 04/07/2022 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER DATED 27/01/2020  
2
History of entity/person ARIHANT FUTURES & COMMODITIES LTD.  
  DID NOT ADHERE TO RULES, BYE-LAWS AND REGULATIONS OF THE EXCHANGE   IMPOSED PENALTY

27-JAN-2020 		SAT: SAT VIDE ITS ORDER DATED 04/07/2022 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER DATED 27/01/2020  
3
History of entity/person CD COMMO SEARCH PVT.LTD.  
  DID NOT ADHERE TO RULES, BYE-LAWS AND REGULATIONS OF THE EXCHANGE   IMPOSED PENALTY

27-JAN-2020 		SAT: SAT VIDE ITS ORDER DATED 04/07/2022 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER DATED 27/01/2020  
4
History of entity/person NIKHIL COMMODITY & DERIVATIVES PVT.LTD.  
  DID NOT ADHERE TO RULES, BYE-LAWS AND REGULATIONS OF THE EXCHANGE   IMPOSED PENALTY

27-JAN-2020 		SAT: SAT VIDE ITS ORDER DATED 04/07/2022 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER DATED 27/01/2020  
5
History of entity/person PUMARTH COMMODITIES PVT.LTD.  
  DID NOT ADHERE TO RULES, BYE-LAWS AND REGULATIONS OF THE EXCHANGE   IMPOSED PENALTY

27-JAN-2020 		SAT: SAT VIDE ITS ORDER DATED 04/07/2022 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER DATED 27/01/2020  
6
History of entity/person SSJ COMMODITIES PVT.LTD.  
  DID NOT ADHERE TO RULES, BYE-LAWS AND REGULATIONS OF THE EXCHANGE   IMPOSED PENALTY

27-JAN-2020 		SAT: SAT VIDE ITS ORDER DATED 04/07/2022 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER DATED 27/01/2020  
7
History of entity/person SUSHIL GLOBAL COMMODITIES PVT.LTD.  
  DID NOT ADHERE TO RULES, BYE-LAWS AND REGULATIONS OF THE EXCHANGE   IMPOSED PENALTY

27-JAN-2020 		SAT: SAT VIDE ITS ORDER DATED 04/07/2022 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER DATED 27/01/2020  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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