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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: DIRECTED TO ENSURE IN LETTER AND SPIRIT THAT SEBI/NSE RULES/REGULATIONS ARE FOLLOWED AND ISSUE NECESSARY INSTRUCTIONS TO ALL BRANCHES/ DEALERS

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person SMC GLOBAL SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,10,000

DIRECTED TO ENSURE IN LETTER AND SPIRIT THAT SEBI/NSE RULES/REGULATIONS ARE FOLLOWED AND ISSUE NECESSARY INSTRUCTIONS TO ALL BRANCHES/ DEALERS

DIRECTED TO ISSUE STRICT INSTRUCTIONS TO STAFF MEMBERS NOT TO DO UNAUTHORISED TRADING

05-NOV-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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