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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: DID NOT MAINTAIN BASE MINIMUM CAPITAL

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CLARIDGES INVESTMENTS & FINANCE PVT.LTD.  
DID NOT MAINTAIN BASE MINIMUM CAPITAL  SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-APR-2007

15-APR-2010 		 
2
History of entity/person GROWTH AVENUES LTD.  
DID NOT MAINTAIN BASE MINIMUM CAPITAL  SUSPENDED REGISTRATION AS STOCK BROKER FROM 02-APR-2007

15-APR-2010 		 
3
History of entity/person NOUVEAU SHARES & SECURITIES LTD.  
DID NOT MEET CAPITAL ADEQUACY REQUIREMENTS FOR CONTINUED ADMITTANCE TO TRADING MEMBERSHIP OF EXCHANGE  SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-NOV-2006

01-NOV-2006 		 
4
History of entity/person PREMIER SHARES LTD.  
DID NOT MEET CAPITAL ADEQUACY REQUIREMENTS FOR CONTINUED ADMITTANCE TO TRADING MEMBERSHIP OF EXCHANGE  SUSPENDED REGISTRATION AS STOCK BROKER FROM 01-NOV-2006

01-NOV-2006 		REVOKED THE SUSPENSION OF TRADING MEMBER WITH EFFECT OF NOV 23,2006  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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