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Co-Sponsors

SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 13-JUL-2024

STOCK BROKERS: DEFAULTED IN COMPLIANCE WITH ARBITRATION RULES

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person SHAREKHAN LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

MISCONDUCTED DURING ARBITRATION HEARING AND OPENED DEFIANCE WRITTEN DIRECTIVES/INSTRUCTIONS/GUIDELINES OF ARBITRATION TRIBUNAL  		CLAIM ADMITTED Rs.25,000
AWARD AMOUNT: RS.1,10,13,584

IMPOSED FINE

DIRECTED TO REFUND BROKERAGE

18-NOV-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 03/06/2021 ALLOWED THE APPEAL AND SET ASIDED IMPUGNED AWARD DATED 18/11/2019  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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