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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 MARGIN REQUIREMENTS

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANGEL ONE LTD.  
DID NOT ADHERE TO MARGIN REQUIREMENTS  CLAIM ADMITTED
AWARD AMOUNT: RS.86,000

25-MAY-2023 		 
2
History of entity/person CD EQUISEARCH PVT.LTD.  
DID NOT ADHERE TO MARGIN REQUIREMENTS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,22,643

18-NOV-2019 		APPEAL ALLOWED AND DIRECTED RESPONDENT TO PAY RS 122643.00. NO COSTS  
3
History of entity/person KOTAK SECURITIES LTD.  
DID NOT ADHERE TO MARGIN REQUIREMENTS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,95,743

02-FEB-2023 		nse vide its arbitration award dated 13/06/2023 modified its award dated 02/02/2023 by making penalty amount of Rs.5,91,486.00 to be paid by appellant and respondent equally  
4
History of entity/person SBICAP SECURITIES LTD.  
DID NOT ADHERE TO MARGIN REQUIREMENTS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,72,025

15-DEC-2022 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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