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Co-Sponsors
SOURCE OF INFORMATION

SOURCE OF INFORMATION : NSE CLEARING LTD.
PERIOD COVERED : 19-SEP-2013 TO 09-SEP-2026

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: DIRECTED TO CONDUCT MONTHLY CONCURRENT AUDIT OF ITS OPERATIONS WITH RESPECT TO ALLOCATION AND SEGREGATION

S.No. ENTITY DIRECTORS/ PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person SMC GLOBAL SECURITIES LTD.  
  REPORTED INCORRECT CLIENT MARGIN AS PROPRIETARY MARGIN

DID NOT RECEIVE APPROPRIATE FUNDS FOR PROPRIETARY TRADES

DISCREPANCIES IN ALLOCATION AND SEGREGATION REPORTING OF PROPRIETARY COLLATERAL

DID NOT COLLECT CRYSTALLIZED OBLIGATION IN CASH FOR PROPRIETARY TRADES   		IMPOSED PENALTY RS.27,00,000

DIRECTED TO CONDUCT MONTHLY CONCURRENT AUDIT OF ITS OPERATIONS WITH RESPECT TO ALLOCATION AND SEGREGATION

11-MAY-2026
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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