| S.No. |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
CENTRUM BROKING LTD.
|
|
AMOUNT WRONGLY DEBITED AGAINST DELAYED PAYMENT CHARGES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.92,427
11-MAR-2022
|
|
| 2 |
|
|
EDELWEISS BROKING LTD.
|
|
WRONGLY CHARGED PENALTY ON MARGIN SHORTAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,27,957
13-FEB-2023
|
nse vide its arbitration award dated 30/06/2023 directed exchange to remit rs.1.50 lacs to respondent-client from the funds of appellant trading member and quashed and set aside grc order dated 25.08.2020 and arbitration award dated 13/02/2023. no costs
|
| 3 |
|
|
IIFL SECURITIES LTD.
|
|
WRONGLY CHARGED PENALTY ON MARGIN SHORTAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.455
15-JUL-2021
|
|
| 4 |
|
|
IIFL SECURITIES LTD.
|
|
WRONGLY CHARGED PENALTY ON MARGIN SHORTAGE
|
DIRECTED TO REFUND PENALTY
AWARD AMOUNT: RS.455
21-FEB-2022
|
|
| 5 |
|
|
KOTAK SECURITIES LTD.
|
|
CHARGED EXCESS PENAL INTEREST
|
CLAIM ADMITTED
AWARD AMOUNT: RS.32,351
21-FEB-2023
|
|
| 6 |
|
|
NUVAMA WEALTH FINANCE LTD.
|
|
AMOUNT WRONGLY DEBITED AGAINST DELAYED PAYMENT CHARGES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,07,991
06-APR-2023
|
|
| 7 |
|
|
RKSV SECURITIES INDIA PVT.LTD.
|
|
AMOUNT WRONGLY DEBITED AGAINST NON-PAYMENT OF DEBTS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.12,84,943
06-OCT-2023
|
|
| 8 |
|
|
RKSV SECURITIES INDIA PVT.LTD.
|
|
WRONGLY CHARGED PENALTY ON MARGIN SHORTAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,68,277
27-OCT-2023
|
|
| 9 |
|
|
RKSV SECURITIES INDIA PVT.LTD.
|
|
WRONGLY CHARGED PENALTY ON MARGIN SHORTAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,30,826
13-OCT-2023
|
|
| 10 |
|
|
SAMCO SECURITIES LTD.
|
|
WRONGLY CHARGED PENALTY ON MARGIN SHORTAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,11,241
06-JUL-2023
|
|
| 11 |
|
|
SAMCO SECURITIES LTD.
|
|
WRONGLY CHARGED PENALTY ON MARGIN SHORTAGE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.80,500
10-AUG-2023
|
|
| 12 |
|
|
SMIFS LTD.
|
|
WRONGLY CHARGED PENALTY ON MARGIN SHORTAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,00,649
01-FEB-2022
|
NSE ARBITRATION AWARD DATED 03/06/2022 DISMISSED THE APPEAL
|
| 13 |
|
|
SMIFS LTD.
|
|
CHARGED EXCESS BROKERAGE
WRONGLY CHARGED PROCESSING CHARGES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,846
01-MAR-2023
|
|
| 14 |
|
|
SMIFS LTD.
|
|
CHARGED EXCESS BROKERAGE
WRONGLY CHARGED PROCESSING CHARGES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.18,730
01-MAR-2023
|
|
| 15 |
|
|
SMIFS LTD.
|
|
WRONGLY CHARGED PENALTY ON MARGIN SHORTAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.843
15-JUL-2021
|
|
| 16 |
|
|
STANDARD CHARTERED-STCI CAPITAL MARKETS LTD.
|
|
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT
DID NOT PAY BROKERAGE
AMOUNT WRONGLY DEBITED AGAINST NON-PAYMENT OF DEBTS
AMOUNT WRONGLY DEBITED AGAINST DELAYED PAYMENT CHARGES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.79,98,329
12-JUN-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
