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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 MAKING PAYMENT

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BMA WEALTH CREATORS LTD.  
DELAY IN MAKING PAYMENT  CLAIM ADMITTED
AWARD AMOUNT: RS.43,330

18-OCT-2012 		 
2
History of entity/person BMA WEALTH CREATORS LTD.  
DELAY IN MAKING PAYMENT  CLAIM ADMITTED
AWARD AMOUNT: RS.13,047

18-OCT-2012 		 
3
History of entity/person FINVASIA SECURITIES PVT.LTD.  
DELAY IN MAKING PAYMENT  CLAIM ADMITTED
AWARD AMOUNT: RS.28,000

30-AUG-2021 		 
4
History of entity/person ICICI SECURITIES LTD.  
DELAY IN RELEASE OF BROKERAGE

DELAY IN MAKING PAYMENT  		CLAIM ADMITTED
AWARD AMOUNT: RS.33,281

14-JUL-2023 		 
5
History of entity/person INDIA INFOLINE LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES

DELAY IN MAKING PAYMENT  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,35,421

20-MAR-2009 		 
6
History of entity/person KOTAK SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT RELEASE CAPITAL GAINS BONDS  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.12,10,000

CLAIM ADMITTED

DIRECTED TO TRANSFER THE BONDS

DIRECTED TO PAY COMPENSATION AND/OR COST OF DIVIDEND

26-FEB-2024 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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