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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 14-AUG-2026

STOCK BROKERS: DID NOT MAINTAIN PROPER AND/OR COMPLETE CLIENT REGISTRATION FORMS

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ARTHA VRDDHI SECURITIES LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT RECONCILE SECURITIES

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS AND/OR DOCUMENTS

DEFAULTED IN MAINTENANCE OF RECORD OF PLACEMENT OF ORDERS

DID NOT MAINTAIN PROPER AND/OR COMPLETE CLIENT REGISTRATION FORMS  		DIRECTED TO DISABLE TRADING TERMINALS

28-FEB-2022

DIRECTED TO RECOUP SHORTFALL IN NET WORTH 		 
2
History of entity/person DEALMONEY SECURITIES PVT.LTD.  
  DID NOT MAINTAIN MINIMUM NETWORTH

DID NOT ADHERE TO MEMBERSHIP REQUIREMENT DIRECTIVES/INSTRUCTIONS/GUIDELINES

USED OF CLIENT BANK ACCOUNTS FOR PURPOSES OTHER THAN SPECIFIED

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT RECONCILE SECURITIES

DID NOT MAINTAIN DAILY RECONCILIATION STATEMENT

DID NOT MAINTAIN PROPER AND/OR COMPLETE CLIENT REGISTRATION FORMS  		PROHIBITED FROM REGISTERING NEW CLIENTS FROM 21-MAR-2022

21-MAR-2022

DIRECTED TO RECOUP SHORTFALL IN NET WORTH FROM 21-MAR-2022 		 
3
History of entity/person MANALI TRADING & HOLDINGS PVT.LTD.  
  DID NOT ADHERE TO DIRECTIONS ISSUED BY MEMBER CORE SETTLEMENT GUARANTEE FUND COMMITTEE (MCSGFC)

DID NOT MAINTAIN CLIENT ORDER PLACEMENT EVIDENCE DURING INSPECTION

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT CLOSE DEMAT ACCOUNT TAGGED AS CLIENT COLLATERAL ACCOUNT

DELAY IN ISSUANCE OF DAILY MARGIN STATEMENTS TO CLIENTS

DID NOT CONDUCT IN-PERSON VERIFICATION (IPV) WHILE REGISTERING CLIENTS

MADE INCORRECT RETENTION STATEMENT

DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

SUBMITTED INCORRECT DATA TOWARDS CLIENT LEVEL HOLDING STATEMENT

INCORRECT REPORTING FOR WEEKLY MONITORING OF CLIENT FUNDS

DID NOT UPLOAD KYC DOCUMENTS TO KRA PROCESSES

DID NOT ISSUE INTIMATION OF TRANSFER OF FUNDS TO CLIENTS BY SMS DURING RUNNING ACCOUNT SETTLEMENT

DELAY IN WINDING UP OF CLIENT UNPAID SECURITIES ACCOUNT (CUSA)

ALLOCATED TRADING TERMINALS TO COMPLIANCE OFFICER FOR EXECUTION OF TRADES

DID NOT MAINTAIN PROPER AND/OR COMPLETE CLIENT REGISTRATION FORMS

DID NOT ENSURE PROPER DEMARCATION OF MANDATORY AND NON-MANDATORY FIELDS IN REGISTRATION DOCUMENT  		IMPOSED PENALTY Rs.1,00,980

24-FEB-2026

WARNED & ADVISED TO COMPLY WITH APPLICABLE SECURITIES LAWS 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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