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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 INTEREST CHARGE

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person KOTAK SECURITIES LTD.  
CHARGED EXCESS INTEREST  CLAIM ADMITTED
AWARD AMOUNT: RS.3,30,793

09-AUG-2023 		nse vide its arbitration award dated 02/01/2024 set aside and/or reversed. No costs  
2
History of entity/person KOTAK SECURITIES LTD.  
CHARGED EXCESS INTEREST  CLAIM ADMITTED
AWARD AMOUNT: RS.35,000

02-SEP-2021 		NSE VIDE ITS ARBITRATION AWARD DATED 13/01/2022 DISMISSED THE APPEAL. NO COSTS  
3
History of entity/person MONEYWISE FINVEST LTD.  
CHARGED EXCESS INTEREST  CLAIM ADMITTED
AWARD AMOUNT: RS.1,17,834

28-OCT-2022 		 
4
History of entity/person MOTILAL OSWAL FINANCIAL SERVICES LTD.  
CHARGED EXCESS BROKERAGE

CHARGED EXCESS INTEREST  		CLAIM ADMITTED
AWARD AMOUNT: RS.29,379

18-DEC-2020 		 
5
History of entity/person MOTILAL OSWAL FINANCIAL SERVICES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

CHARGED EXCESS INTEREST  		CLAIM ADMITTED
AWARD AMOUNT: RS.3,65,18,233

08-MAY-2023 		nse vide its arbitration award dated 15/09/2023 dismissed the appeal and confirmed the award dated 08/05/2023  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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